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.

• Owen David Beswick

  IRN ODB00002

  • 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
  • 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)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Aug 2003 to 31 Oct 2007)
• Peter Brian Reading

  IRN PXR00107

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Manager of certification employee (since 4 Jan 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (18 Jun 2015 to 8 Dec 2019)
• Rajesh Kumar Passi

  IRN RXP00036

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (25 Jan 2022 to 13 Mar 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (6 Jan 2020 to 1 Nov 2020)
  • SMF3 Executive Director (9 Dec 2019 to 1 Nov 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Nov 2020)
  • Responsible for Insurance Mediation (12 Oct 2016 to 30 Sep 2018)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Nov 2020)
  • CF1 Director (19 Feb 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (21 Jul 2004 to 31 Oct 2007)
• Ranjit Virk

  IRN RXV01027

  • CF30 Customer (19 Feb 2010 to 23 Feb 2013)
• Richard Anthony Harrison

  IRN RAH01231

  • [FCA CF] Functions requiring qualifications (10 Dec 2024 to 25 Apr 2025)
  • [FCA CF] Client dealing (10 Dec 2024 to 25 Apr 2025)
• Richard James Kirk Brown

  IRN RJB00049

  • CF30 Customer (1 Nov 2007 to 19 Mar 2010)
  • CF21 Investment Adviser (20 Jan 2003 to 31 Oct 2007)
• Richard William Belcher

  IRN RWB00016

  • [FCA CF] Functions requiring qualifications (6 May 2022 to 29 Nov 2024)
  • [FCA CF] Client dealing (6 May 2022 to 29 Nov 2024)
• Richard Winston Major

  IRN RWM00044

  • 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)
  • 9A. Advising on P2P agreements
  • SMF1 Chief Executive (since 6 Jan 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (25 Jun 2013 to 15 Dec 2023)
  • CF1 Director (30 Jan 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 15 Dec 2023)
  • CF21 Investment Adviser (22 Jul 2002 to 31 Oct 2007)
• Rickie Lee Kovacs

  IRN RXK07718

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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] Client dealing (since 23 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 23 Jan 2025)
• Robert Lewis Gibbens

  IRN RXG22947

  • [FCA CF] Functions requiring qualifications (7 May 2021 to 1 Sep 2023)
  • [FCA CF] Client dealing (7 May 2021 to 1 Sep 2023)

• 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.