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

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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.

• Neil Raymond Soper

  IRN NRS00002

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF11 Money Laundering Reporting (12 Jul 2004 to 7 Jul 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Nicola Mary Pinnington-England

  IRN NMP01045

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Mar 2021)
  • SMF3 Executive Director (9 Dec 2019 to 1 Mar 2021)
  • CF11 Money Laundering Reporting (1 Jan 2019 to 8 Dec 2019)
  • CF1 Director (15 Aug 2018 to 8 Dec 2019)
  • CF29 Significant management (19 Jul 2011 to 17 Aug 2018)
• Pauline Mavis Turner

  IRN PMT00001

  • CF30 Customer (1 Nov 2007 to 16 Jan 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Peter Henry Sidney Rawlings

  IRN PHR00004

  • CF21 Investment Adviser (10 Feb 2003 to 31 May 2004)
• Peter Lawrence Mossman

  IRN PLM00009

  • CF1 Director (AR) (1 Dec 2001 to 16 Dec 2003)
• Peter Nigel Lidgett Gibbs

  IRN PNG00005

  • CF21 Investment Adviser (27 Jan 2003 to 31 Aug 2004)
• Philip John Rogers

  IRN PJR00026

  • CF21 Investment Adviser (28 Jul 2003 to 31 Mar 2004)
• Philip Michael Marten

  IRN PMM00031

  • CF30 Customer (1 Nov 2007 to 27 Jun 2011)
  • CF21 Investment Adviser (19 Mar 2007 to 31 Oct 2007)
• Richard Ian Blazey

  IRN RIB00007

  • CF30 Customer (1 Nov 2007 to 14 Jul 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Richard Stephen Wells

  IRN RSW00006

  • CF21 Investment Adviser (29 Mar 2005 to 20 Jan 2006)

• 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.