Capelin Financial Management Ltd

• Principal Place of Business

  2 Thimble Lane

  1678 High Street

  Knowle

  Solihull

  West Midlands

  B93 0LY

  UNITED KINGDOM

  Phone

  +4401564200304

  Web

  https://www.capelin.co.uk

• Complaints Contact

  2 Thimble Lane

  1678 High Street

  Knowle

  Solihull

  West Midlands

  B93 0LY

  UNITED KINGDOM

  Phone

  +4401564200304

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• 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.

• 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.

• Charlie Martin Foort

  IRN CXF00239

  • 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] Client dealing (since 1 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Aug 2022)
• Darren Wood

  IRN DXW01477

  • CF30 Customer (17 Sep 2012 to 14 Dec 2012)
• Derek Capelin

  IRN DXC00186

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Sep 2025)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (5 Jan 2009 to 28 Aug 2019)
  • CF10 Compliance Oversight (5 Jan 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
  • CF1 Director (1 Jul 2004 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Jul 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Jul 2004 to 31 Mar 2009)
• Gail Margaret Grant Capelin

  IRN GXL17117

  • SMF3 Executive Director (9 Dec 2019 to 8 Sep 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Sep 2025)
  • CF1 Director (28 Aug 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (28 Aug 2019 to 8 Dec 2019)
• Heather Jeannette Singleton

  IRN HJS00029

  • CF30 Customer (1 Nov 2007 to 30 Apr 2018)
  • CF11 Money Laundering Reporting (31 Oct 2006 to 31 Dec 2008)
  • CF1 Director (31 Oct 2006 to 13 Mar 2018)
  • CF10 Compliance Oversight (31 Oct 2006 to 31 Dec 2008)
  • CF21 Investment Adviser (18 Nov 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Aug 2004 to 18 Nov 2005)
  • CF24 Pension Transfer Specialist (12 Aug 2004 to 31 Oct 2007)
• Jade Naomi Mountford

  IRN JNM01088

  • CF30 Customer (17 Jul 2017 to 28 Mar 2018)
• Katie Joyce Read

  IRN KXR00143

  • 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] Client dealing (since 1 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2021)
• Muhammed Idrees

  IRN MXI00222

  • 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] Client dealing (since 1 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2024)
• Richard James Cresswell

  IRN RJC01221

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (17 Jul 2017 to 8 Dec 2019)
• Samuel David Lott

  IRN SDL01082

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Jul 2017 to 8 Dec 2019)

No changes recorded yet.