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.

• Rory Kinnear

  IRN RXK21103

  • 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 25 Sep 2024)
  • [FCA CF] Client dealing (since 30 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 30 Dec 2019)
  • CF30 Customer (3 Oct 2019 to 8 Dec 2019)
• Ryoko Takayanagi

  IRN RXT00427

  • 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 Dec 2024)
  • [FCA CF] Client dealing (since 9 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Sep 2024)
  • Appointed representative dealing with clients for which they require qualification (since 9 Sep 2024)
• Stacy Mann

  IRN SXM00973

  • SMF17 Money Laundering Reporting Officer (MLRO) (29 Mar 2022 to 19 Jun 2025)
  • SMF16 Compliance Oversight (29 Mar 2022 to 19 Jun 2025)
• Thomas Eyles

  IRN TXE01158

  • 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] 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)
  • CF30 Customer (6 Aug 2019 to 8 Dec 2019)
  • CF1 Director (6 Aug 2019 to 8 Dec 2019)
• Toby Bentley

  IRN TXB01794

  • [FCA CF] Manager of certification employee (25 Sep 2024 to 6 Jan 2025)
  • [FCA CF] Functions requiring qualifications (31 Dec 2019 to 6 Jan 2025)
  • [FCA CF] Client dealing (31 Dec 2019 to 6 Jan 2025)
  • CF30 Customer (6 Aug 2019 to 8 Dec 2019)
• Toby Luck

  IRN TXL00120

  • [FCA CF] Client dealing (19 Apr 2021 to 26 Jan 2023)
  • [FCA CF] Functions requiring qualifications (19 Apr 2021 to 26 Jan 2023)
• William Carrick Smith

  IRN WXC00123

  • 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 26 Jan 2023)
  • [FCA CF] Client dealing (since 26 Jan 2023)

• Financial Initiatives Limited

  FRN 935269 · Appointed 1 Oct 2020

No changes recorded yet.