Lathe & Co Wealth Advisers Ltd

• Principal Place of Business

  Lathe & Co

  2 Throgmorton Avenue

  London

  City Of London

  EC2N 2DG

  UNITED KINGDOM

  Phone

  +442039546008

  Web

  https://www.latheandco.co.uk

• Complaints Contact

  Lathe & Co

  2 Throgmorton Avenue

  London

  City Of London

  EC2N 2DG

  UNITED KINGDOM

  Phone

  +442039546008

• 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 pension policies with a Guaranteed Annuity Rate.

• 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, 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

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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.

• Alistair Fullerton

  IRN AXF01856

  • 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] Significant management (since 25 Sep 2024)
  • [FCA CF] Client dealing (since 31 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (6 Aug 2019 to 8 Dec 2019)
  • CF1 Director (6 Aug 2019 to 8 Dec 2019)
• Alistair Henry Newson

  IRN AXN00379

  • 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)
  • [FCA CF] Client dealing (since 12 Jun 2024)
  • [FCA CF] Functions requiring qualifications (since 12 Jun 2024)
• Dan Partington

  IRN DXP00169

  • 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)
  • [FCA CF] Client dealing (since 30 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 30 Oct 2020)
• Emma Stanfield

  IRN EXS00297

  • [FCA CF] Client dealing (23 Feb 2023 to 1 Sep 2023)
• Gary Peter Nash

  IRN GPN01022

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 26 Sep 2024)
  • CF1 Director (AR) (since 15 Nov 2023)
  • Appointed representative dealing with clients for which they require qualification (since 19 Oct 2023)
  • CF30 Customer (since 5 Feb 2021)
  • [FCA CF] Client dealing (since 31 Dec 2019)
  • [FCA CF] Functions requiring qualifications (31 Dec 2019 to 19 Oct 2023)
• Haydn Brooks

  IRN HXB01450

  • 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] Significant management (since 25 Sep 2024)
  • [FCA CF] Client dealing (since 31 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (8 Aug 2019 to 8 Dec 2019)
  • CF1 Director (6 Aug 2019 to 8 Dec 2019)
• Henrietta Dymott

  IRN HXD00104

  • 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] Significant management (since 25 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 26 Jan 2022)
  • [FCA CF] Client dealing (since 26 Jan 2022)
• Isaac Phinneus Steffen Miller

  IRN IXM00287

  • [FCA CF] Functions requiring qualifications (5 Oct 2023 to 28 Nov 2025)
  • [FCA CF] Client dealing (5 Oct 2023 to 28 Nov 2025)
• Jack William Jennings

  IRN JWJ01031

  • 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] Manager of certification employee (since 26 Sep 2024)
  • Appointed representative dealing with clients for which they require qualification (since 19 Oct 2023)
  • CF1 Director (AR) (since 15 Jan 2021)
  • CF30 Customer (since 15 Jan 2021)
  • [FCA CF] Client dealing (since 31 Dec 2019)
  • [FCA CF] Functions requiring qualifications (31 Dec 2019 to 19 Oct 2023)
• Jake Carney

  IRN JXC00457

  • [FCA CF] Functions requiring qualifications (31 Dec 2019 to 29 Aug 2022)
  • [FCA CF] Client dealing (31 Dec 2019 to 29 Aug 2022)

• Financial Initiatives Limited

  FRN 935269 · Appointed 1 Oct 2020

No changes recorded yet.