THROGMORTON FINANCIAL ADVICE LIMITED

Date authorised
1 April 2013
Companies House
07265926
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    31 Peterborough Drive
    Lodge Moor
    Sheffield
    South Yorkshire
    S10 4JB
    UNITED KINGDOM
    Phone
    +4401142630374

  • Complaints Contact

    31 Peterborough Drive
    Sheffield
    Sheffield
    S10 4JB
    UNITED KINGDOM
    Phone
    +4401142630374

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

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

    Show 1 limitation
    • · 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

    For Retail (Investment), Professional, Commercial, Retail (Non-Investment Insurance)

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

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

    Show 1 limitation
    • · 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 Setup

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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Albert Saxon

    IRN AXS00024

    • (6)4. Giving personal recommendations on retail investment products which are not broker funds
    • (9)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (10)SMF3 Executive Director (since 9 Dec 2019)
    • (11)[FCA CF] Client dealing (since 9 Dec 2019)
    • (12)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (8)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (7)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (4)CF10 Compliance Oversight (1 Oct 2010 to 8 Dec 2019)
    • (5)CF1 Director (1 Oct 2010 to 8 Dec 2019)
    • (2)CF30 Customer (1 Oct 2010 to 8 Dec 2019)
    • (1)Responsible for Insurance Mediation (1 Oct 2010 to 30 Sep 2018)
    • (3)CF11 Money Laundering Reporting (1 Oct 2010 to 8 Dec 2019)
  • Andrew Jon Topping

    IRN AJT01290

    • (2)17. Administrative functions in relation to managing investments
    • (3)14. Managing investments
    • (4)4. Giving personal recommendations on retail investment products which are not broker funds
    • (1)18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • (5)[FCA CF] Functions requiring qualifications (since 17 Oct 2025)

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function removed: 17. Administrative functions in relation to managing investments

  2. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO)

  3. controlled function removed: Responsible for Insurance Distribution

  4. controlled function removed: [FCA CF] Functions requiring qualifications

  5. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds

  6. controlled function removed: 14. Managing investments

  7. controlled function removed: [FCA CF] Functions requiring qualifications

  8. controlled function removed: SMF16 Compliance Oversight

  9. controlled function removed: 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies

  10. controlled function removed: [FCA CF] Client dealing

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