Marlborough Investment Management Limited

• Principal Place of Business

  Marlborough House

  59 Chorley New Road

  Bolton

  Bolton

  BL1 4QP

  UNITED KINGDOM

  Phone

  +441283249853

  Web

  https://www.marlboroughgroup.com

• Complaints Contact

  Marlborough House

  59 Chorley New Road

  Bolton

  Bolton

  BL1 4QP

  UNITED KINGDOM

  Phone

  +441283249853

• Authorised to Operate

• Arranges Investments

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Nathaniel Michael Sweeney

  IRN NMS01069

  • [FCA CF] Manager of certification employee (since 14 Feb 2023)
  • [FCA CF] Client dealing (since 6 Oct 2022)
  • [FCA CF] Material risk taker (since 14 Jul 2022)
  • [FCA CF] Functions requiring qualifications (14 Jul 2022 to 2 Feb 2023)
• Niall McDermott

  IRN NXM02276

  • [FCA CF] Client dealing (since 8 Mar 2024)
  • [FCA CF] Material risk taker (since 29 Sep 2022)
  • [FCA CF] Significant management (26 Nov 2021 to 29 Sep 2022)
  • [FCA CF] Functions requiring qualifications (26 Nov 2021 to 2 Feb 2023)
• Nicholas Bridge

  IRN NXB00086

  • [FCA CF] Significant management (17 Oct 2022 to 31 Dec 2025)
  • [FCA CF] Client dealing (14 Jul 2022 to 18 Oct 2022)
  • [FCA CF] Manager of certification employee (14 Jul 2022 to 18 Oct 2022)
• Nicholas Frances John Cooling

  IRN NFC01007

  • SMF3 Executive Director (9 Dec 2019 to 31 May 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jun 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 18 Nov 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Nicholas James French

  IRN NJF01081

  • [FCA CF] Manager of certification employee (14 Jul 2022 to 7 Oct 2022)
  • [FCA CF] Client dealing (14 Jul 2022 to 7 Oct 2022)
  • [FCA CF] Significant management (2 Nov 2021 to 7 Oct 2022)
• Nicholas Peters

  IRN NJP01086

  • [FCA CF] Material risk taker (since 11 Mar 2024)
  • [FCA CF] Client dealing (since 18 Jul 2022)
  • [FCA CF] Significant management (6 Oct 2022 to 11 Mar 2024)
• Nicola Jones

  IRN NXJ00143

  • [FCA CF] Material risk taker (11 Mar 2024 to 2 Mar 2026)
• Nikesh Ganatra

  IRN NXG00236

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 Mar 2023)
  • SMF16 Compliance Oversight (since 31 Mar 2023)
• Norah Burns

  IRN NXB00166

  • [FCA CF] Material risk taker (since 11 Mar 2024)
  • [FCA CF] Significant management (since 14 Jul 2022)
• Patrick Boughton

  IRN PXB00680

  • [FCA CF] Client dealing (20 May 2024 to 10 Oct 2024)

No changes recorded yet.