MONTGOMERY CHARLES FINANCIAL MANAGEMENT LIMITED

• Principal Place of Business

  8 Wicker Hill

  Trowbridge

  Wiltshire

  BA14 8JU

  UNITED KINGDOM

  Phone

  +4401225777999

  Web

  https://www.montgomerycharles.co.uk

• Complaints Contact

  8 Wicker Hill

  Trowbridge

  Wiltshire

  BA14 8JU

  UNITED KINGDOM

  Phone

  +4401225777999

• 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

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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, 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

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · 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, 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.

• Daniel James Teare

  IRN DXT00403

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Apr 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2025)
• Daniel William Alder

  IRN DWA01047

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Feb 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Feb 2022)
  • CF30 Customer (7 May 2019 to 8 Dec 2019)
• Dominic Rhys Beddis

  IRN DRB01113

  • CF30 Customer (30 Apr 2014 to 30 Sep 2015)
• James William Whittington

  IRN JWW01102

  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 18 Jul 2023)
  • [FCA CF] Client dealing (since 18 Jul 2023)
• Michael Dennis Marigold

  IRN MDM00007

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • SMF16 Compliance Oversight (9 Dec 2019 to 10 Dec 2025)
  • CF1 Director (1 Nov 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2012 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Nov 2012 to 30 Sep 2018)
  • CF3 Chief Executive (1 Nov 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Nov 2012 to 8 Dec 2019)
• Michael John Duddridge

  IRN MJD01302

  • 9A. Advising on P2P agreements
  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (21 Jun 2013 to 8 Dec 2019)
• Robert Peter Mitchell

  IRN RXM00265

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Apr 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2025)
• Rosa Nash

  IRN RXN00180

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 20 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 20 Dec 2024)
• Timothy Guy Collyer

  IRN TGC00012

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 9A. Advising on P2P agreements
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF16 Compliance Oversight (since 9 Sep 2025)
  • [FCA CF] Significant management (since 1 Sep 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Dec 2017 to 8 Dec 2019)

No changes recorded yet.