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.

• Lisa Julie Cryer

  IRN LXC14610

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 May 2025)
  • CF30 Customer (10 May 2019 to 8 Dec 2019)
• Malcolm Miller Gillies

  IRN MMG01043

  • CF11 Money Laundering Reporting (1 Jun 2008 to 7 Oct 2014)
  • CF29 Significant management (28 May 2008 to 7 Oct 2014)
• Mark Andrew Flaskett

  IRN MAF01133

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2025)
  • CF30 Customer (20 Oct 2017 to 8 Dec 2019)
• Mark Richard Gould

  IRN MXG00160

  • Responsibility for MCD Intermediation (since 3 Jul 2023)
  • SMF3 Executive Director (since 3 Jul 2023)
  • SMF16 Compliance Oversight (since 3 Jul 2023)
  • SMF1 Chief Executive (since 3 Jul 2023)
  • Responsible for Insurance Distribution (since 3 Jul 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Feb 2021)
  • CF29 Significant management (8 Oct 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Oct 2014 to 17 Jun 2015)
• Mark Stephen Welsby

  IRN MSW01101

  • CF21 Investment Adviser (6 Nov 2002 to 1 May 2003)
• Mary Hannah Green

  IRN MHG01065

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2021)
  • CF30 Customer (17 May 2019 to 8 Dec 2019)
• Matthew Eric Webb

  IRN MEW00004

  • CF30 Customer (1 Nov 2007 to 14 Jul 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Matthew John Strickland

  IRN MJS00014

  • CF21 Investment Adviser (1 Oct 2004 to 31 Dec 2005)
• Michael Robert Keohane

  IRN MRK00011

  • CF30 Customer (1 Nov 2007 to 18 Dec 2015)
  • CF24 Pension Transfer Specialist (18 Nov 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michael Robert Price

  IRN MRP00015

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• 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.