Lord Clarke Limited

• Principal Place of Business

  4 The Terrace

  Rugby Road

  Lutterworth

  Leicestershire

  LE17 4BW

  UNITED KINGDOM

  Phone

  +4401455557542

  Web

  https://www.lordclarke.co.uk

• Complaints Contact

  4 The Terrace

  Rugby Road

  Lutterworth

  Leicestershire

  LE17 4BW

  UNITED KINGDOM

  Phone

  +4401455557542

• 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

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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.

• 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, 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

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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, 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

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

• Consumer Loans

• Loan Servicing

• 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, 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.

• Ajay Kumar Khosla

  IRN AKK00003

  • CF30 Customer (31 Oct 2011 to 22 Nov 2013)
• Catherine Ann Cleaver

  IRN CAC01208

  • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
  • CF1 Director (18 May 2011 to 8 Dec 2019)
• Christopher John Rex Howard

  IRN CJH01216

  • CF30 Customer (8 Dec 2016 to 11 Dec 2018)
• Connie Hewson

  IRN CXH00402

  • 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] Functions requiring qualifications (since 12 Jul 2021)
  • [FCA CF] Client dealing (since 12 Jul 2021)
• David Andrew Hawley

  IRN DAH01174

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (3 Jan 2019 to 8 Dec 2019)
• David Peter Clarke

  IRN DPC00011

  • 11. Pension transfer specialist
  • 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)
  • Responsibility for MCD Intermediation (since 26 Jan 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [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)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (13 Apr 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Apr 2012 to 8 Dec 2019)
  • CF1 Director (14 Mar 2012 to 8 Dec 2019)
  • CF30 Customer (22 Jun 2011 to 8 Dec 2019)
• Hugh Michael Fraser Brown

  IRN HMB01041

  • CF11 Money Laundering Reporting (18 May 2011 to 6 Apr 2012)
  • CF10 Compliance Oversight (18 May 2011 to 6 Apr 2012)
  • CF1 Director (18 May 2011 to 6 Apr 2012)
  • Responsible for Insurance Mediation (18 May 2011 to 6 Apr 2012)
• Jonathan David Moody

  IRN JDM01100

  • CF30 Customer (1 Jul 2019 to 8 Dec 2019)
• Kaylen Patel

  IRN KXP00441

  • 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] Functions requiring qualifications (since 22 Nov 2024)
  • [FCA CF] Client dealing (since 22 Nov 2024)
• Mark Winterton

  IRN MXW00092

  • 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] Functions requiring qualifications (since 15 May 2024)
  • [FCA CF] Client dealing (since 15 May 2024)

No changes recorded yet.