Thomson Gray Wealth Management Limited

• Principal Place of Business

  4 Duncan Close

  Redhouse Square

  Moulton Park Ind Est

  Northampton

  Northamptonshire

  NN3 6WL

  UNITED KINGDOM

  Phone

  +4401604499134

  Web

  https://www.thomsongray.co.uk

• Complaints Contact

  4 Duncan Close

  Redhouse Square

  Moulton Park Ind Est

  Northampton

  Northamptonshire

  NN3 6WL

  UNITED KINGDOM

  Phone

  +4401604499134

• 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

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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.

• 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.

• 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

  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.

• Debt Advice

  Show 2 limitations Hide limitations

  • · Debt Counselling limited to Debt Counselling which is provided with investment advice.
  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Andrew James Ernest Baldwin

  IRN AJB01739

  • CF30 Customer (19 Jul 2012 to 8 May 2013)
• Carl Lawrence Waltham

  IRN CLW01106

  • CF30 Customer (2 Sep 2014 to 22 Nov 2015)
• Christopher Peter Wallace

  IRN CXW00434

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 16 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 16 Apr 2024)
• Dilara Uyduran

  IRN DXU23394

  • [FCA CF] Functions requiring qualifications (20 Apr 2021 to 15 Mar 2024)
  • [FCA CF] Client dealing (20 Apr 2021 to 15 Mar 2024)
• Edward David Thomson

  IRN EXT00129

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 15 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 15 Jul 2024)
  • SMF3 Executive Director (since 19 Aug 2022)
• James Palmer Thomson

  IRN JPT00007

  • 11. Pension transfer specialist
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Apr 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Apr 2022)
  • Responsible for Insurance Mediation (15 Aug 2018 to 30 Sep 2018)
  • CF10 Compliance Oversight (15 Aug 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (21 May 2012 to 8 Dec 2019)
  • CF30 Customer (21 May 2012 to 8 Dec 2019)
  • CF1 Director (21 May 2012 to 8 Dec 2019)
• James William Brown

  IRN JXB21349

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 17 Jun 2024)
  • [FCA CF] Client dealing (since 17 Jun 2024)
• Matthew Stephen Harrison

  IRN MXH23983

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2020)
  • CF30 Customer (19 Nov 2019 to 8 Dec 2019)
• Richard Roberts

  IRN RXR00031

  • CF30 Customer (25 Jul 2017 to 28 Feb 2018)
• Sean Edward Gray

  IRN SEG00004

  • CF10 Compliance Oversight (21 May 2012 to 2 Aug 2018)
  • CF1 Director (21 May 2012 to 2 Aug 2018)
  • Responsible for Insurance Mediation (21 May 2012 to 2 Aug 2018)
  • CF30 Customer (21 May 2012 to 22 Jan 2019)

No changes recorded yet.