Lodge Financial Advice Ltd

• Principal Place of Business

  9 Lodge Road

  Coleraine

  County Londonderry

  BT52 1LU

  UNITED KINGDOM

  Phone

  +4402870344222

  Web

  https://www.lodgefinancial.co.uk

• Complaints Contact

  9 Lodge Road

  Coleraine

  County Londonderry

  BT52 1LU

  UNITED KINGDOM

  Phone

  +4402870344222

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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

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  • · 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

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  • · 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

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

  Show 1 limitation Hide limitations

  • · The firm will not allow a client to utilise the funds raised by way of loan to increase the size of an investment portfolio under review by the firm.

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Advice

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  • · 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

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  • · 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 Score Services

  Show 1 limitation Hide limitations

  • · Limited to the provision of credit information services with no credit repair.

• Alvin Lamont Rosborough

  IRN ALR00007

  • CF30 Customer (1 Nov 2007 to 18 Apr 2019)
  • CF22 Investment Adviser (Trainee) (12 Feb 2007 to 31 Oct 2007)
• Andrew John Rogers

  IRN AJR00084

  • CF1 Director (12 Jan 2004 to 31 Aug 2006)
  • CF21 Investment Adviser (12 Jan 2004 to 29 Jun 2007)
• Andrew Kenneth Gibson

  IRN AXG00435

  • 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)
  • Responsible for Insurance Distribution (since 1 Apr 2026)
  • SMF16 Compliance Oversight (since 1 Apr 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2026)
  • SMF3 Executive Director (since 1 Apr 2026)
  • [FCA CF] Functions requiring qualifications (since 4 Aug 2021)
  • [FCA CF] Client dealing (since 4 Aug 2021)
• Bryan Barr

  IRN BJB00008

  • CF21 Investment Adviser (12 Jan 2004 to 30 Apr 2004)
• Catherine Nora Maureen Louise Holmes

  IRN CNH01027

  • CF21 Investment Adviser (28 Nov 2003 to 6 Jan 2004)
• Ciaran Sean O'Kane

  IRN CSO00001

  • CF30 Customer (1 Nov 2007 to 7 Aug 2014)
  • CF21 Investment Adviser (12 Jan 2004 to 28 May 2004)
• Colin William Watson

  IRN CWW00007

  • CF30 Customer (1 Nov 2007 to 3 Jan 2011)
  • CF21 Investment Adviser (7 Dec 2006 to 12 Dec 2006)
• Donna Patricia Watson

  IRN DPW00008

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 23 Aug 2016)
  • CF10 Compliance Oversight (5 Jul 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Jul 2013 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (12 Jan 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (12 Jan 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (12 Jan 2004 to 8 Dec 2019)
• Jane Clarke

  IRN JXC01811

  • CF2 Non Executive Director (12 Jan 2004 to 30 Sep 2004)
• Kenneth Walter McClure

  IRN KWM00002

  • CF30 Customer (1 Nov 2007 to 1 Jan 2009)
  • CF21 Investment Adviser (12 Jan 2004 to 31 Oct 2007)

No changes recorded yet.