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.

• Lisa Davies

  IRN LXD01281

  • [FCA CF] Client dealing (7 Feb 2022 to 13 Apr 2023)
  • [FCA CF] Functions requiring qualifications (7 Feb 2022 to 13 Apr 2023)
• Matthew David Singleton

  IRN MDS01190

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Functions requiring qualifications (since 4 Jan 2021)
  • [FCA CF] Significant management (since 4 Jan 2021)
  • [FCA CF] Client dealing (since 4 Jan 2021)
• Matthew James George

  IRN MJG01223

  • 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
  • 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 29 Sep 2025)
  • [FCA CF] Functions requiring qualifications (since 29 Sep 2025)
• Michael Paul Walker

  IRN MPW01080

  • 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] Client dealing (since 29 Apr 2026)
  • [FCA CF] Functions requiring qualifications (since 29 Apr 2026)
• Peter Richard Botham

  IRN PRB01083

  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
• Peter Ward

  IRN PXW01217

  • 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 30 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 30 Jan 2020)
• Richard Angus Wright

  IRN RAW00029

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 29 Apr 2026)
  • [FCA CF] Client dealing (since 29 Apr 2026)
• Richard John Fraser Wadsworth

  IRN RJW00075

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 6 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 6 Jun 2022)
• Ronald Turner

  IRN RXT00036

  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
  • CF1 Director (1 Apr 2019 to 8 Dec 2019)
• Simon Ashley Silver

  IRN SAS00011

  • [FCA CF] Functions requiring qualifications (11 Aug 2021 to 17 Mar 2022)
  • [FCA CF] Client dealing (11 Aug 2021 to 17 Mar 2022)

• 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

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