THOMPSON RIDDLE ASSOCIATES LIMITED

• Principal Place of Business

  Headstart House

  39 High Street

  Ware

  Hertfordshire

  SG12 9BA

  UNITED KINGDOM

  Phone

  +4401920466629

  Web

  https://www.themodernifa.co.uk

• Complaints Contact

  Headstart House

  39 High Street

  Ware

  Hertfordshire

  SG12 9BA

  UNITED KINGDOM

  Phone

  +4401920466629

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  Show 2 limitations Hide limitations

  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

  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 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

  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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding the administration of debt management plans. In this limitation debt management plans are defined as: "a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders."

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Alan James Maile

  IRN AJM00044

  • CF21 Investment Adviser (31 May 2005 to 1 Dec 2006)
• Barry Lee Doe

  IRN BLD00013

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2022)
• Graham Paul Martin

  IRN GPM00019

  • CF30 Customer (12 Jun 2009 to 15 Nov 2013)
• Ian Thompson

  IRN IAT00004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • CF8 Apportionment and Oversight (11 Jan 2005 to 31 Mar 2009)
  • CF21 Investment Adviser (11 Jan 2005 to 31 Oct 2007)
  • CF10 Compliance Oversight (11 Jan 2005 to 8 Dec 2019)
  • CF1 Director (11 Jan 2005 to 8 Dec 2019)
• John Peter Thomas Kealy

  IRN JPK00012

  • CF21 Investment Adviser (11 Jan 2005 to 1 Dec 2006)
• Kevin Atkinson

  IRN KXA01332

  • CF30 Customer (28 Jan 2009 to 30 Jun 2010)
• Kevin Douglas Norman

  IRN KDN00002

  • CF21 Investment Adviser (11 Jan 2005 to 18 Feb 2005)
• Louise Kelly Bradbury

  IRN LXB00107

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Matthew Rogers

  IRN MXR02136

  • CF30 Customer (21 Mar 2013 to 11 Nov 2014)
• Michael Anthony West

  IRN MAW00045

  • CF22 Investment Adviser (Trainee) (11 Jan 2005 to 26 Jun 2006)

• Matthew Rogers (no longer appointed)

  FRN 591735 · Appointed 21 Nov 2012 · Until 28 Nov 2012

No changes recorded yet.