Castle Financial LLP

• Principal Place of Business

  12 Moor Lane

  Clitheroe

  Lancashire

  BB7 1BE

  UNITED KINGDOM

  Phone

  +441200422522

  Web

  https://www.castlefinancial.co.uk

• Complaints Contact

  12 Moor Lane

  Clitheroe

  Lancashire

  BB7 1BE

  UNITED KINGDOM

  Phone

  +441200422522

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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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  • · 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice and buy to let mortgage advice and second charge mortgage advice.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Annette Shaw

  IRN AXS04299

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 5 Feb 2019)
  • Responsible for Insurance Distribution (since 5 Feb 2019)
  • CF30 Customer (5 Feb 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 Oct 2015 to 8 Dec 2019)
  • CF4 Partner (31 Oct 2015 to 8 Dec 2019)
• Colin David Bonner

  IRN CDB00015

  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Nov 2019)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Nov 2019)
  • CF10 Compliance Oversight (24 Dec 2012 to 1 Nov 2019)
  • CF30 Customer (1 Nov 2007 to 1 Nov 2019)
  • Responsible for Insurance Mediation (26 Jan 2007 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (26 Jan 2007 to 31 Mar 2009)
  • CF4 Partner (26 Jan 2007 to 1 Nov 2019)
  • CF21 Investment Adviser (26 Jan 2007 to 31 Oct 2007)
• David Martin Salmon

  IRN DMS00085

  • CF30 Customer (1 Nov 2007 to 29 Nov 2012)
  • CF11 Money Laundering Reporting (26 Jan 2007 to 31 Oct 2015)
  • CF10 Compliance Oversight (26 Jan 2007 to 29 Nov 2012)
  • CF21 Investment Adviser (26 Jan 2007 to 31 Oct 2007)
  • CF4 Partner (26 Jan 2007 to 31 Oct 2015)
• Matthew Shaw

  IRN MXS22993

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • [FCA CF] Client dealing (since 1 May 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2022)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)

No changes recorded yet.