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.

• David John Smith

  IRN DJS00085

  • CF1 Director (1 Dec 2001 to 6 Feb 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 6 Feb 2004)
• Denis Brown

  IRN DXB01521

  • CF21 Investment Adviser (14 Nov 2003 to 12 Oct 2007)
• Duncan Michael Gardner

  IRN DMG00027

  • CF1 Director (AR) (1 Dec 2001 to 1 Dec 2009)
• Graeme Hills

  IRN GXH01822

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Feb 2016 to 8 Dec 2019)
• Gregory David Herbert

  IRN GDH00024

  • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2006)
• Heather Hodson

  IRN HXL01195

  • 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 (4 Apr 2012 to 8 Dec 2019)
• James Alexander Faulkner

  IRN JAF00036

  • CF1 Director (AR) (1 Dec 2001 to 1 Dec 2001)
• James Scott Marshall

  IRN JSM00061

  • CF21 Investment Adviser (2 Dec 2002 to 11 Feb 2005)
• James William Brown

  IRN JXB21349

  • [FCA CF] Client dealing (6 Jul 2022 to 12 Jun 2024)
  • [FCA CF] Functions requiring qualifications (6 Jul 2022 to 12 Jun 2024)
• John Duncan Andrew

  IRN JDA01076

  • CF1 Director (26 Jul 2010 to 3 Apr 2017)

• 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.