Throgmorton Capital Management Limited

• Principal Place of Business

  South

  Cheadle Royal

  Royal Crescent

  Cheadle

  Stockport

  SK8 3FS

  UNITED KINGDOM

  Phone

  +4401612496171

  Web

  https://www.throgmortoncm.co.uk

• Complaints Contact

  South

  Cheadle Royal

  Royal Crescent

  Cheadle

  Stockport

  SK8 3FS

  UNITED KINGDOM

  Phone

  +4401612496171

• 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Stockbroking

  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, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is 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”.

• 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, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Alasdair Euan McWilliams

  IRN AEM01157

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Appointed representative dealing with clients for which they require qualification (since 10 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (AR) (24 Nov 2023 to 28 Nov 2024)
  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
  • CF1 Director (1 Apr 2019 to 8 Dec 2019)
• Andrew John Brownless

  IRN AJB01850

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 12 Mar 2024)
  • [FCA CF] Client dealing (since 12 Mar 2024)
• Aylin Bayraktar

  IRN AXB04750

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 7 Nov 2025)
  • [FCA CF] Client dealing (since 7 Nov 2025)
• Brendan Patrick Coburn

  IRN BPC00169

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • Appointed representative dealing with clients for which they require qualification (since 10 Sep 2024)
  • Responsibility for MCD Intermediation (since 23 Mar 2021)
  • Responsible for Insurance Distribution (since 24 Mar 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (8 Sep 2025 to 2 Mar 2026)
  • CF1 Director (AR) (8 Sep 2025 to 2 Mar 2026)
  • CF10 Compliance Oversight (1 Apr 2019 to 8 Dec 2019)
  • CF1 Director (1 Apr 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2019 to 8 Dec 2019)
• Carl John Taylor

  IRN CJT00025

  • CF30 Customer (20 Jan 2025 to 2 Oct 2025)
  • Appointed representative dealing with clients for which they require qualification (20 Jan 2025 to 2 Oct 2025)
  • CF1 Director (AR) (20 Jan 2025 to 2 Oct 2025)
• Christina Dawn Clegg

  IRN CDC00005

  • 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)
  • [FCA CF] Client dealing (since 19 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 19 Mar 2025)
• Dien Son Richard To

  IRN DXT14632

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 17 Apr 2023)
• Garth James Hugh Ellison

  IRN GJE00016

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Dec 2024)
  • [FCA CF] Client dealing (since 18 Dec 2024)
• Ian Alistair Watson

  IRN IAW01025

  • [FCA CF] Client dealing (7 Sep 2020 to 10 Aug 2021)
  • [FCA CF] Functions requiring qualifications (7 Sep 2020 to 10 Aug 2021)
• Jonathan Waite

  IRN JXW00356

  • 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
  • [FCA CF] Functions requiring qualifications (since 12 Jan 2024)
  • [FCA CF] Client dealing (since 12 Jan 2024)

• Alexander House Wealth Management Limited (no longer appointed)

  FRN 585055 · Appointed 8 Sep 2025 · Until 3 Mar 2026

• Cheshire Financial Design Ltd (no longer appointed)

  FRN 563470 · Appointed 20 Jan 2025 · Until 20 Nov 2025

• LJ Financial Planning (SDJ) Limited (no longer appointed)

  FRN 925186 · Appointed 30 Nov 2023 · Until 4 Dec 2024 · Tied agent

No changes recorded yet.