LGT Wealth Management Limited

• Principal Place of Business

  LGT Wealth Management

  14 Cornhill

  London

  City Of London

  EC3V 3NR

  UNITED KINGDOM

  Phone

  +4402032078000

  Web

  https://www.lgtwm.com/uk-en/

• Complaints Contact

  LGT Wealth Management

  14 Cornhill

  London

  City Of London

  EC3V 3NR

  UNITED KINGDOM

  Phone

  +4402032078000

• 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 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.

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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

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  • · Firm is permitted to carry on this activity in relation to first charge mortgages only
  • · Firm is not permitted to carry on this activity in relation to lifetime mortgages

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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

  Show 2 limitations Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only
  • · Firm is not permitted to carry on this activity in relation to lifetime mortgages

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Credit Brokering

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  • · Credit broking limited to exempt agreements under Article 60H of the RAO and Article 60 (C)(3) of the RAO only: The firm’s credit broking activities are limited to customers who have certified as High Net Worth (HNW) individuals under Article 60H of the RAO or have certified that the nature of the loan is wholly or predominantly for business purposes under Article 60 (C)(3) of the RAO.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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 Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Caroline Mary Connellan

  IRN CMC01199

  • SMF1 Chief Executive (20 Apr 2022 to 1 Aug 2022)
  • SMF3 Executive Director (20 Apr 2022 to 1 Aug 2022)
• Caroline Tye

  IRN CRL01025

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 18 Sep 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2026)
  • CF1 Director (27 Sep 2013 to 8 Dec 2019)
  • CF30 Customer (26 Sep 2013 to 8 Dec 2019)
• Catherine Nash

  IRN CXN00035

  • [FCA CF] Significant management (12 Jun 2020 to 19 Apr 2023)
• Charles Benson

  IRN CXB00555

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
• Charles Denis Astley Sanford

  IRN CDS01087

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Nov 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
  • [FCA CF] Manager of certification employee (since 1 Nov 2025)
• Charles Edward Paul Insley

  IRN CEI01002

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 Oct 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 11 Oct 2022)
  • CF30 Customer (26 Sep 2013 to 8 Dec 2019)
• Charles Neil Thompson

  IRN CNT01011

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 18 Sep 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Dec 2016 to 8 Dec 2019)
• Christopher Hetherington

  IRN CXH00454

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 17 Nov 2025)
  • [FCA CF] Client dealing (since 17 Nov 2025)
• Christopher John Friel

  IRN CJF01138

  • CF30 Customer (9 Jun 2015 to 21 Sep 2018)
• Claire Emma Catherine Marshall

  IRN CEM01029

  • [FCA CF] Material risk taker (1 Jan 2023 to 1 Sep 2023)
  • [FCA CF] Manager of certification employee (14 Mar 2022 to 1 Sep 2023)
  • [FCA CF] Significant management (14 Mar 2022 to 1 Sep 2023)

No changes recorded yet.