Charterhouse Independent Financial Advisors LLP

• Principal Place of Business

  85 Tottenham Court Road

  London

  W1T 4TQ

  UNITED KINGDOM

  Phone

  +4402076311311

  Web

  https://charterhouseifallp.com

• Complaints Contact

  85 Tottenham Court Road

  London

  W1T 4TQ

  UNITED KINGDOM

  Phone

  +4402076311311

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Pension Transfer Advice

  For 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 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 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

  Show 1 limitation Hide limitations

  • · 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

  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

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling which is provided in relation to buy-to-let mortgages and other investment advice
  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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

  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.

• Alexander Vitali

  IRN ASV01028

  • CF1 Director (AR) (5 Jun 2014 to 27 Jan 2015)
  • CF30 Customer (21 Dec 2012 to 27 Jan 2015)
• Amanda Jane Daughters

  IRN AJD00028

  • CF21 Investment Adviser (1 Nov 2006 to 30 Jun 2007)
  • CF1 Director (AR) (1 Nov 2006 to 30 Jun 2007)
• Andrew Bernard Harvey Bridgewater

  IRN AXB00056

  • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
  • CF24 Pension Transfer Specialist (1 Nov 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
  • CF4 Partner (1 Nov 2006 to 30 Jun 2011)
• Andrew Peter Penfold

  IRN APP00004

  • CF30 Customer (1 Jul 2011 to 19 Nov 2012)
  • CF4 Partner (16 Nov 2006 to 30 Jun 2011)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
• Clive Richmond Nicholas

  IRN CRN00003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (since 6 Jun 2014)
  • CF30 Customer (since 12 Feb 2013)
  • CF4 Partner (AR) (12 Feb 2013 to 16 May 2014)
• Heather Wendy Whitechurch

  IRN HWW00001

  • CF30 Customer (1 Nov 2007 to 23 Dec 2011)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
• Hugh Edward Wallace

  IRN HEW00001

  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 12 Jul 2016)
  • CF30 Customer (12 Feb 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Nov 2006 to 30 Sep 2018)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Nov 2006 to 31 Mar 2009)
  • CF4 Partner (1 Nov 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Nov 2006 to 8 Dec 2019)
• John Tobias Hardman

  IRN JTH00010

  • 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
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (since 11 Jun 2014)
  • CF30 Customer (since 3 Apr 2013)
  • CF30 Customer (4 Mar 2013 to 7 Mar 2013)
  • CF4 Partner (AR) (23 Jan 2013 to 16 May 2014)
• Lloyd French

  IRN LXF00018

  • CF1 Director (AR) (27 Feb 2013 to 16 Oct 2018)
  • CF30 Customer (27 Feb 2013 to 16 Oct 2018)
• Martin Keith Dilke-Wing

  IRN MKD00005

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (AR) (since 6 Jun 2014)
  • CF30 Customer (since 11 Feb 2013)
  • CF4 Partner (AR) (11 Feb 2013 to 16 May 2014)
  • CF4 Partner (11 Feb 2013 to 8 Dec 2019)

• Donnellsons (London) LLP

  FRN 589362 · Appointed 9 Jan 2013

• Morgans Independent Financial Advisers Limited

  FRN 540610 · Appointed 19 Dec 2012

• Delaunay Wealth Management Limited (no longer appointed)

  FRN 591436 · Appointed 19 Dec 2012 · Until 17 Oct 2018

• Aqua Financial Solutions Ltd (no longer appointed)

  FRN 195124 · Appointed 1 Nov 2006 · Until 30 Jun 2007

No changes recorded yet.