Legal & General Financial Advice Ltd

• Principal Place of Business

  4th Floor Chadwick House

  Warwick Road

  Solihull

  West Midlands

  B91 2AA

  UNITED KINGDOM

  Phone

  +4408082913454

  Web

  https://www.legalandgeneral.com/contact-us/

• Complaints Contact

  4th Floor Chadwick House

  Warwick Road

  Solihull

  West Midlands

  B91 2AA

  UNITED KINGDOM

  Phone

  +4408082913454

• Investment Advice (no pensions)

  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.

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  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.

• Insurance Admin

  For Retail (Non-Investment Insurance), Life Policy

• 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”.

• Investment Setup

  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.

• Mark Hall

  IRN MWH01090

  • [FCA CF] Significant management (since 1 Apr 2020)
• Matthew James Robbins

  IRN MJR01253

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Nov 2022)
  • [FCA CF] Client dealing (9 Nov 2022 to 10 Nov 2022)
• Matthew Richard Frain

  IRN MRF01073

  • SMF3 Executive Director (14 Oct 2021 to 28 Feb 2023)
  • [FCA CF] Manager of certification employee (10 May 2021 to 14 Oct 2021)
  • [FCA CF] Significant management (10 May 2021 to 14 Oct 2021)
• Meg Dickens

  IRN MXD00238

  • [FCA CF] Significant management (1 Apr 2020 to 17 Dec 2021)
• Michael Batty

  IRN MXB24223

  • SMF3 Executive Director (since 2 Sep 2022)
  • [FCA CF] Significant management (1 Apr 2020 to 2 Sep 2022)
• Michael Edward Rohan

  IRN MXR00256

  • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 2 Sep 2020)
• Michael Faulkner

  IRN MXF00158

  • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 22 May 2020)
• Michael Mccormick

  IRN MXM04434

  • [FCA CF] Functions requiring qualifications (6 Sep 2024 to 25 Dec 2025)
• Michael Watkins

  IRN MXW00872

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 20 Aug 2024)
• Morgan Spillane

  IRN MXS02210

  • [FCA CF] Significant management (since 27 Jan 2026)

No changes recorded yet.