LEGAL & MEDICAL INVESTMENTS LIMITED

• Principal Place of Business

  Floor 3,

  Cumberland House,

  Oriel Road

  Cheltenham

  GL50 1BB

  UNITED KINGDOM

  Phone

  +4401242576277

  Web

  https://www.legalandmedical.co.uk

• Complaints Contact

  Floor 3

  Cumberland House

  Oriel Road

  Cheltenham

  GL50 1BB

  UNITED KINGDOM

  Phone

  +4401242576277

• 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

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Louise Reading

  IRN LXR00202

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 13 Jun 2022)
  • [FCA CF] Client dealing (13 Jun 2022 to 13 Jul 2022)
• Malcolm Douglas Norris

  IRN MDN00001

  • 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)
  • 9A. Advising on P2P agreements
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (12 Oct 2005 to 31 Oct 2007)
• Marc Robert Woodward

  IRN MRW00039

  • 9A. Advising on P2P agreements
  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2020)
  • CF11 Money Laundering Reporting (16 Jul 2012 to 8 Nov 2019)
  • CF1 Director (30 Jan 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Martin James Miles

  IRN MJM00005

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (7 Sep 2010 to 8 Dec 2019)
• Martin Paul Cooke

  IRN MPC00011

  • CF30 Customer (1 Nov 2007 to 12 Jan 2008)
  • CF21 Investment Adviser (6 Jul 2005 to 31 Oct 2007)
• Max Jago Spurgeon

  IRN MJS00024

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Feb 2021)
  • Responsibility for MCD Intermediation (since 18 Feb 2021)
  • Responsible for Insurance Distribution (since 18 Feb 2021)
  • SMF16 Compliance Oversight (since 3 Jan 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (2 Jul 2013 to 15 Dec 2023)
  • CF1 Director (13 Feb 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 15 Dec 2023)
  • CF21 Investment Adviser (21 Jul 2004 to 31 Oct 2007)
• Michael Anthony Miles

  IRN MXM00160

  • [FCA CF] Functions requiring qualifications (11 Apr 2023 to 12 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jan 2022)
• Michael Paul Rawson

  IRN MPR00008

  • 9A. Advising on P2P agreements
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 13 Mar 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jun 2005 to 31 Oct 2007)
• Mireille Suzanne Aston

  IRN MSA00013

  • 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
  • 9A. Advising on P2P agreements
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (10 May 2021 to 1 Dec 2022)
  • CF1 Director (AR) (10 May 2021 to 1 Dec 2022)
  • CF21 Investment Adviser (28 Sep 2005 to 31 Oct 2007)
• Nigel Andrew Farrar

  IRN NAF00011

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Nov 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2026)
  • CF30 Customer (1 May 2014 to 8 Dec 2019)

• Dental & Medical Wealth Management Ltd (no longer appointed)

  FRN 600541 · Appointed 3 May 2013 · Until 16 Dec 2022

• Medical & Legal Investments Ltd (no longer appointed)

  FRN 600448 · Appointed 1 May 2013 · Until 16 Dec 2022

No changes recorded yet.