Castra Financial limited

• Principal Place of Business

  Castra Financial

  Office 18

  Springboard Innovation Centre

  Llantarnam

  Cwmbran

  Torfaen

  NP44 3AW

  UNITED KINGDOM

  Phone

  +441633287798

  Web

  https://www.castra.uk

• Complaints Contact

  Office 18, Springboard Innovation Centre

  Llantarnam Way

  Cwmbran

  NP44 3AW

  UNITED KINGDOM

  Phone

  +441633287798

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Christopher Evans

  IRN CXE01205

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 10 Jul 2024)
  • [FCA CF] Client dealing (since 27 Jul 2020)
  • [FCA CF] Functions requiring qualifications (since 27 Jul 2020)
• Daniel Foster

  IRN DXF00067

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 2 Aug 2021)
• James Dunington

  IRN JXD00190

  • [FCA CF] Functions requiring qualifications (27 Oct 2020 to 23 Aug 2021)
• James Parfitt

  IRN JXP00199

  • [FCA CF] Functions requiring qualifications (27 Jul 2020 to 1 Jun 2021)
• Kevin Mackie

  IRN KXM00149

  • [FCA CF] Functions requiring qualifications (14 Sep 2020 to 29 Jan 2021)
• Mark Anthony Carnevale

  IRN MAC00055

  • 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 12 Feb 2024)
  • [FCA CF] Functions requiring qualifications (since 12 Feb 2024)
• Michael Lee Tappan

  IRN MXT87497

  • [FCA CF] Functions requiring qualifications (3 Jul 2020 to 1 Jun 2021)
• Rhys Williams

  IRN RXW00129

  • [FCA CF] Functions requiring qualifications (8 Jul 2020 to 1 Jul 2021)
• Shaun Christopher Hiscox

  IRN SCH01184

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 14 Apr 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Apr 2020)
  • SMF16 Compliance Oversight (since 14 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 14 Apr 2020)
  • Responsibility for MCD Intermediation (since 14 Apr 2020)
  • Responsible for Insurance Distribution (since 14 Apr 2020)

No changes recorded yet.