Castlegate Financial Management Limited

• Principal Place of Business

  8 Castlegate

  Grantham

  Lincolnshire

  NG31 6SE

  UNITED KINGDOM

  Phone

  +4401476855585

  Web

  https://www.casfin.co.uk

• Complaints Contact

  8 Castlegate

  Grantham

  Lincolnshire

  NG31 6SE

  UNITED KINGDOM

  Phone

  +4401476855585

• 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.

• 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.

• Adam James Thompson

  IRN AXT06764

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 14 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 23 Aug 2021)
  • CF30 Customer (3 Oct 2018 to 8 Dec 2019)
• Alexander Ronald Bolton

  IRN ARB01272

  • CF30 Customer (10 Jul 2013 to 12 Jun 2017)
• Alexander William Campbell Miller

  IRN AWM00016

  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2002)
• Andrew Clive Severn

  IRN ACS01132

  • SMF3 Executive Director (9 Dec 2019 to 2 Apr 2025)
  • CF1 Director (7 May 2009 to 8 Dec 2019)
• Antoinette Butler

  IRN ACW01146

  • CF30 Customer (4 Mar 2008 to 30 Mar 2015)
• Barrie Upson

  IRN BXU00002

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
• Callum Tindall

  IRN CXT00472

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 30 May 2024)
  • [FCA CF] Client dealing (since 30 May 2024)
• Carl Peter Stephenson

  IRN CPS01060

  • [FCA CF] Functions requiring qualifications (6 Oct 2021 to 3 Oct 2025)
  • [FCA CF] Client dealing (6 Oct 2021 to 3 Oct 2025)
• Christopher Charles Jenkins

  IRN CCJ00001

  • CF30 Customer (26 Nov 2008 to 30 Nov 2009)
• Clive Goodwin Bullock

  IRN CGB00024

  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Nov 2006)
  • CF1 Director (AR) (1 Dec 2001 to 1 Nov 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2006)

• Newporte Financial Management Limited (no longer appointed)

  FRN 220974 · Appointed 29 Nov 2002 · Until 1 Apr 2007

• Castlegate Southern Ltd (no longer appointed)

  FRN 192051 · Appointed 1 Mar 1999 · Until 7 Dec 2009

• M T Financial Management Ltd (no longer appointed)

  FRN 181128 · Appointed 28 Aug 1996 · Until 1 Nov 2006

No changes recorded yet.