Castlefield Investment Partners LLP

• Principal Place of Business

  111 Piccadilly

  Manchester

  Lancashire

  M1 2HY

  UNITED KINGDOM

  Phone

  +441612334890

  Web

  https://www.castlefield.com

• Complaints Contact

  111 Piccadilly

  Manchester

  Lancashire

  M1 2HY

  UNITED KINGDOM

  Phone

  +441612334890

• Pension Transfer Advice

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), Stakeholder pension scheme, Unit

  Show 2 limitations 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.
  • · 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 Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Louise Jane Hough

  IRN LJH01106

  • CF30 Customer (29 May 2008 to 31 Aug 2011)
• Mark John Elliott

  IRN MJE01078

  • 14. Managing investments
  • SMF27 Partner (since 24 Nov 2021)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Aug 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Nov 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (30 Aug 2005 to 31 Oct 2007)
  • CF27 Investment Management (30 Aug 2005 to 31 Oct 2007)
  • CF4 Partner (30 Aug 2005 to 8 Dec 2019)
• Matthew Stephen Ralph

  IRN MXR00027

  • [FCA CF] Manager of certification employee (since 1 Sep 2023)
  • SMF27 Partner (since 31 Aug 2023)
  • Responsible for Insurance Distribution (31 Aug 2023 to 18 Apr 2024)
• Michael James Christopher Owens

  IRN MXO19764

  • 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 Sep 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2023)
• Michael Kevin Richardson

  IRN MXR00202

  • SMF17 Money Laundering Reporting Officer (MLRO) (14 Mar 2022 to 31 Aug 2023)
  • [FCA CF] Material risk taker (14 Mar 2022 to 31 Aug 2022)
• Olivia Caronwen Daisy Bowen

  IRN OCB01005

  • 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 Sep 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2023)
• Pooja Kamesh Shah

  IRN PXS23896

  • 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] Functions requiring qualifications (since 1 Sep 2023)
  • [FCA CF] Client dealing (since 1 Sep 2023)
• Rex Alastair Orton

  IRN RXO10016

  • CF2 Non Executive Director (AR) (10 Jan 2019 to 4 Dec 2020)
• Richard James Slattery-Vickers

  IRN RXS09799

  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 Feb 2021)
  • CF30 Customer (9 Apr 2019 to 8 Dec 2019)
• Rioghna Gannon

  IRN RXG00313

  • [FCA CF] Material risk taker (1 May 2022 to 31 Aug 2022)
  • SMF16 Compliance Oversight (29 Apr 2022 to 31 Aug 2023)

• Sanford DeLand Asset Management Limited (no longer appointed)

  FRN 531128 · Appointed 24 Nov 2017 · Until 4 Dec 2020

• Castlefield Corporate Advisory Partners Limited (no longer appointed)

  FRN 793148 · Appointed 2 Nov 2017 · Until 30 Apr 2019

• Sanford DeLand Asset Management Limited (no longer appointed)

  FRN 531128 · Appointed 7 Sep 2010 · Until 1 Sep 2016

• Castlefield Wealth Management Limited (no longer appointed)

  FRN 485786 · Appointed 8 Jul 2008 · Until 31 Dec 2011

No changes recorded yet.