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.

• John Desmond O'Driscoll

  IRN JDO00003

  • Appointed representative dealing with clients for which they require qualification (19 Oct 2023 to 31 Jul 2025)
  • CF30 Customer (5 Feb 2021 to 11 Sep 2025)
  • CF1 Director (AR) (5 Feb 2021 to 11 Sep 2025)
  • [FCA CF] Client dealing (31 Dec 2019 to 31 Aug 2025)
  • [FCA CF] Functions requiring qualifications (31 Dec 2019 to 19 Oct 2023)
• Jonathan Marc Reid

  IRN JXR13711

  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Nov 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Nov 2021)
  • CF11 Money Laundering Reporting (6 Aug 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 Aug 2019 to 8 Dec 2019)
• Julia Church

  IRN JXC01200

  • 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)
  • CF30 Customer (since 18 Nov 2023)
  • [FCA CF] Client dealing (since 25 Jul 2023)
  • Appointed representative dealing with clients for which they require qualification (since 25 Jul 2023)
  • [FCA CF] Functions requiring qualifications (25 Jul 2023 to 19 Oct 2023)
• Kazue Drury

  IRN KXD01127

  • 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] Manager of certification employee (since 26 Sep 2024)
  • 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)
• Laura Whetstone

  IRN LXW01387

  • 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 3 Oct 2024)
  • [FCA CF] Significant management (since 25 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2019)
  • [FCA CF] Client dealing (since 31 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 8 Aug 2019)
  • Responsible for Insurance Distribution (since 8 Aug 2019)
  • CF1 Director (6 Aug 2019 to 8 Dec 2019)
  • CF30 Customer (6 Aug 2019 to 8 Dec 2019)
• Mark Butterworth

  IRN MXB53246

  • 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] Functions requiring qualifications (since 21 Apr 2026)
  • [FCA CF] Client dealing (since 21 Apr 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Jul 2025)
  • SMF16 Compliance Oversight (since 23 Jul 2025)
  • SMF3 Executive Director (since 30 Jan 2025)
• Molly Burd

  IRN MXB00371

  • 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
  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
• Nicholas Sanders

  IRN NXS00431

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • CF30 Customer (since 18 Dec 2024)
  • Appointed representative dealing with clients for which they require qualification (since 1 Oct 2022)
  • [FCA CF] Client dealing (since 14 Sep 2022)
  • [FCA CF] Functions requiring qualifications (14 Sep 2022 to 19 Oct 2023)
• Oliver Ben Field

  IRN OXF00001

  • [FCA CF] Functions requiring qualifications (1 Sep 2020 to 24 Sep 2021)
  • [FCA CF] Client dealing (1 Sep 2020 to 24 Sep 2021)
• Oliver William Colin Johns

  IRN OXJ00043

  • 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 21 Oct 2024)
  • [FCA CF] Client dealing (since 21 Oct 2024)

• Financial Initiatives Limited

  FRN 935269 · Appointed 1 Oct 2020

No changes recorded yet.