Castle Sundborn Limited

• Principal Place of Business

  The Old Bank

  10 High Street

  Malmesbury

  Wilts

  SN16 9AU

  UNITED KINGDOM

  Phone

  +4401666825200

  Web

  https://www.castlesundborn.co.uk

• Complaints Contact

  The Old Bank

  10 High Street

  Malmesbury

  Wilts

  SN16 9AU

  UNITED KINGDOM

  Phone

  +4401666825200

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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: 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 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, 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, 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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  • · Lmited to debt counselling excluding the administration of debt management plans. In this limitation debt management plans are defined as: "a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders."

• 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, 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.

• Alison Mary Bather

  IRN AXB01560

  • SMF3 Executive Director (since 21 Aug 2023)
• Amy Rose Wilkins

  IRN AXC02436

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (20 Jan 2012 to 3 May 2012)
• Anna Judith Brown

  IRN AXB01367

  • 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 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2023)
• Anthony Sven Bather

  IRN ASB00019

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • 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)
  • Responsibility for MCD Intermediation (since 23 Aug 2016)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Managing a material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
• Christopher Hancock

  IRN CXH02014

  • 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 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2022)
• David Vaughan Rees

  IRN DVR01004

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2020)
• Edward Parsons

  IRN EXP00015

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Aug 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Aug 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (16 Aug 2004 to 31 Oct 2007)
• Judith Mary Williams

  IRN JMP00043

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 (2 Apr 2012 to 8 Dec 2019)
• Julie Curtis

  IRN JXC28392

  • SMF3 Executive Director (since 19 Jun 2021)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (9 Dec 2019 to 10 Dec 2019)
• Madeline Dorothy Bather

  IRN MDB00005

  • CF1 Director (1 Dec 2001 to 4 Apr 2014)

• Fuller Wealth Management

  FRN 948407 · Appointed 1 Apr 2021

• Paul Dening Partnership (no longer appointed)

  FRN 445977 · Appointed 15 Dec 2005 · Until 31 Aug 2019

No changes recorded yet.