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.

• John Geoffrey Hindmarch

  IRN JGH00007

  • CF1 Director (1 Dec 2001 to 31 Mar 2006)
• Julian David Sayer

  IRN JDS00016

  • CF21 Investment Adviser (1 Dec 2001 to 30 Jan 2004)
• Keith Henry Johnson

  IRN KHJ00001

  • CF1 Director (1 Dec 2001 to 1 Apr 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Apr 2009)
• Kenneth James Monk

  IRN KJM00011

  • CF21 Investment Adviser (1 Dec 2001 to 13 Nov 2002)
• Kevin Adlington

  IRN KXA00021

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2023)
  • [FCA CF] Client dealing (since 27 Nov 2023)
• Lauren Katie Hanson

  IRN LXH00657

  • 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] Functions requiring qualifications (since 29 Sep 2025)
  • [FCA CF] Client dealing (since 29 Sep 2025)
• Lisa Frances Shepherd

  IRN LFS01023

  • CF30 Customer (20 Oct 2016 to 8 Dec 2019)
• Lucinda Doorne Guinness

  IRN LXD00337

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 20 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 20 Nov 2023)
  • [FCA CF] Proprietary trader (20 Nov 2023 to 21 Nov 2023)
  • [FCA CF] Material risk taker (20 Nov 2023 to 21 Nov 2023)
• Mark Anthony Nind

  IRN MAN00006

  • CF21 Investment Adviser (13 Jun 2002 to 11 Mar 2005)
  • CF24 Pension Transfer Specialist (13 Jun 2002 to 11 Mar 2005)
• Mark Thomas Hindmarch

  IRN MTH00016

  • CF1 Director (1 Dec 2001 to 26 Jul 2010)

• 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.