W.DENIS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  W Denis Financial Services Ltd

  8 St Paul's Street

  Leeds

  LS1 2LE

  UNITED KINGDOM

  Phone

  +4401132443666

  Web

  https://www.wdenisfinancialservices.com

• Complaints Contact

  W Denis Financial Services Ltd

  8 St Paul's Street

  Leeds

  LS1 2LE

  UNITED KINGDOM

  Phone

  +4401132443666

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Linda Janet Rolls

  IRN LXR01156

  • CF30 Customer (21 Oct 2013 to 13 Dec 2014)
• Mark Paul Sims

  IRN MPS01056

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Nov 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Nov 2021)
  • CF30 Customer (5 Dec 2013 to 8 Dec 2019)
• Max John Cashmore

  IRN MXC01481

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 15 Sep 2025)
  • [FCA CF] Client dealing (since 15 Sep 2025)
• Michael Howard Hall

  IRN MHH00002

  • CF30 Customer (1 Nov 2007 to 31 Dec 2010)
  • Responsible for Insurance Mediation (14 Jan 2005 to 11 Sep 2007)
  • CF11 Money Laundering Reporting (29 Oct 2004 to 4 Nov 2005)
  • CF10 Compliance Oversight (29 Oct 2004 to 4 Nov 2005)
  • CF8 Apportionment and Oversight (29 Oct 2004 to 4 Nov 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Nicholas Charles Barraclough

  IRN NCB01077

  • CF30 Customer (1 Nov 2007 to 21 Oct 2013)
  • CF21 Investment Adviser (14 Sep 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Feb 2007 to 31 Oct 2007)
• Pamela Byram

  IRN PXB01447

  • CF21 Investment Adviser (24 Feb 2005 to 5 Jan 2006)
• Richard Timoney

  IRN RXT01829

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (26 Jan 2018 to 8 Dec 2019)

No changes recorded yet.