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.

• Robert Beckley

  IRN RAB00030

  • CF21 Investment Adviser (1 Dec 2001 to 12 Sep 2005)
• Roger William Perry

  IRN RWP00032

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Apr 2023)
  • CF30 Customer (23 Jan 2017 to 8 Dec 2019)
• Russell Anthony Pardoe

  IRN RAP01134

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Nov 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 17 Nov 2025)
  • CF30 Customer (21 Mar 2016 to 8 Dec 2019)
• Sara-Gwen Mather

  IRN SXM04525

  • [FCA CF] Manager of certification employee (since 16 Jul 2024)
• Sean Patrick O'Connor

  IRN SPO00001

  • CF30 Customer (1 Nov 2007 to 14 Jul 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Simon David Nathan Wolfe

  IRN SDW00019

  • CF30 Customer (1 Nov 2007 to 14 Jul 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Simon James Hall

  IRN SJH00001

  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Dec 2018)
  • CF11 Money Laundering Reporting (16 Jun 2015 to 31 Dec 2018)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2018)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (AR) (1 Dec 2001 to 1 Apr 2011)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Dec 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 31 Dec 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Stephen Anthony Thorrington

  IRN SAT01066

  • SMF1 Chief Executive (9 Dec 2019 to 3 Jul 2023)
  • SMF3 Executive Director (9 Dec 2019 to 3 Jul 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jul 2023)
  • Responsible for Insurance Distribution (1 Jan 2019 to 3 Jul 2023)
  • CF10 Compliance Oversight (1 Jan 2019 to 8 Dec 2019)
  • CF3 Chief Executive (1 Jan 2019 to 8 Dec 2019)
  • CF1 Director (26 Jul 2018 to 8 Dec 2019)
  • CF29 Significant management (11 Apr 2017 to 27 Jul 2018)
• Steven Johnston

  IRN SXJ00001

  • SMF3 Executive Director (9 Dec 2019 to 30 Apr 2021)
  • CF30 Customer (1 Nov 2007 to 17 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Timothy Charles Harris

  IRN TCH00002

  • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2002)

• 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.