Castlegate Financial Management Limited

Date authorised
1 April 2013
Companies House
02077374
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Melvyn Price

    IRN MXP00018

    • CF1 Director (AR) (1 Dec 2001 to 1 Nov 2006)
  • Miranda Evelyn Anne Hickson

    IRN MEH01084

    • [FCA CF] Client dealing (14 Sep 2021 to 6 Jun 2023)
    • [FCA CF] Functions requiring qualifications (17 Jun 2021 to 6 Jun 2023)
  • Morton Shadley Weir

    IRN MSW01104

    • CF30 Customer (1 Nov 2007 to 6 Feb 2012)
    • CF21 Investment Adviser (10 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (24 Jan 2007 to 10 Oct 2007)
  • Nicholas Edwin Gardner

    IRN NEG00002

    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 13 Sep 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Apr 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Nicholas John Lawson

    IRN NJL00006

    • 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 (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 30 Apr 2004)
  • Nicholas Peter Venn

    IRN NPV00003

    • CF30 Customer (1 Nov 2007 to 13 Oct 2008)
    • CF24 Pension Transfer Specialist (10 Jan 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (20 May 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Jan 2002 to 20 May 2002)
  • Nicola Helen Brown

    IRN NHB01036

    • [FCA CF] Client dealing (14 Sep 2021 to 9 May 2024)
    • [FCA CF] Functions requiring qualifications (23 Aug 2021 to 9 May 2024)
    • CF30 Customer (16 Feb 2018 to 8 Dec 2019)
  • Paul Christopher Newton

    IRN PCN00003

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Paul John Cabourne

    IRN PJC00036

    • CF21 Investment Adviser (9 Jan 2002 to 6 Feb 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 9 Jan 2002)
  • Penelope Ann Harding

    IRN PAE01060

    • CF30 Customer (1 Nov 2007 to 9 Dec 2009)
    • CF21 Investment Adviser (11 Sep 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Nov 2005 to 11 Sep 2006)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.