Morgans Ltd

• Principal Place of Business

  41 Gay Street

  Bath

  Avon

  BA1 2NT

  UNITED KINGDOM

  Phone

  +4401225429471

  Web

  https://www.mfgl.com

• Complaints Contact

  41 Gay Street

  Bath

  Avon

  BA1 2NT

  UNITED KINGDOM

  Phone

  +4401225429471

• 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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  • · 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 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, 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

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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 Arranging

  For Customer, Regulated mortgage contract

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgages

• 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

  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.

• David John Hocking

  IRN DJH00080

  • [FCA CF] Client dealing (9 Dec 2019 to 24 Nov 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Nov 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Oct 2003 to 31 Oct 2007)
• David Walpole Crouch

  IRN DWC00001

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 30 Jun 2011)
• Diana Heming

  IRN DMH00002

  • SMF3 Executive Director (9 Dec 2019 to 25 Feb 2022)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 25 Feb 2022)
  • CF11 Money Laundering Reporting (13 Jul 2006 to 31 May 2008)
  • CF1 Director (5 Nov 2002 to 8 Dec 2019)
• Ed David Schwarz

  IRN EXS00050

  • [FCA CF] Client dealing (16 Jul 2024 to 16 Jul 2025)
  • [FCA CF] Functions requiring qualifications (16 Jul 2024 to 16 Jul 2025)
• Emma Jane Rees

  IRN EJR00001

  • CF30 Customer (1 Nov 2007 to 16 Jan 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Ewan Geoffrey Price

  IRN EGP00005

  • CF30 Customer (1 Nov 2007 to 31 May 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Gary Lewis Sydney John

  IRN GLJ00001

  • CF30 Customer (1 Nov 2007 to 14 Jul 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Guy Neale Dawe

  IRN GND01010

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Oct 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 18 Oct 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (19 Mar 2007 to 31 Oct 2007)
• Helen Maria Papi

  IRN MHP00002

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (1 May 2005 to 31 Oct 2007)
• Ian Potter

  IRN IXP00003

  • CF30 Customer (10 Apr 2012 to 25 Jul 2017)

• Queen Square Financial Services (no longer appointed)

  FRN 212872 · Appointed 10 Jun 2002 · Until 14 Dec 2007

• Regent Investment Advisors Limited (no longer appointed)

  FRN 200404 · Appointed 30 Nov 1999 · Until 1 Apr 2011

No changes recorded yet.