THROGMORTON PRIVATE CAPITAL LIMITED

• Principal Place of Business

  31-33 High Street

  Deal

  Kent

  CT14 6EL

  UNITED KINGDOM

  Phone

  +4401304371753

  Web

  https://www.throgmortonltd.co.uk

• Complaints Contact

  31-33 High Street

  Deal

  Kent

  CT14 6EL

  UNITED KINGDOM

  Phone

  +4401304371753

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Pension Transfer Advice

  For 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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  • · 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, 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For Commercial, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

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

• IAN BUNDOCK

  IRN IXB01352

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 20 May 2024)
  • [FCA CF] Client dealing (19 Dec 2019 to 20 May 2024)
  • CF30 Customer (12 Oct 2019 to 8 Dec 2019)
• Iain Anthony Angus Cherry

  IRN IXC00044

  • 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 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
  • CF30 Customer (31 Aug 2016 to 8 Dec 2019)
• Jacob Leggatt

  IRN JXL00147

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 18 Jun 2025)
  • [FCA CF] Client dealing (since 18 Jun 2025)
  • [FCA CF] Significant management (18 Jun 2025 to 19 Jun 2025)
  • [FCA CF] Manager of certification employee (18 Jun 2025 to 19 Jun 2025)
• James Andrew Bason

  IRN JAB01282

  • CF30 Customer (22 Oct 2012 to 8 Dec 2019)
• James Brian Thomas Anderson

  IRN JBA01042

  • 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] Functions requiring qualifications (since 11 May 2022)
  • [FCA CF] Client dealing (since 11 May 2022)
• James Lewis Buckner

  IRN JLB01095

  • CF22 Investment Adviser (Trainee) (11 Jul 2005 to 15 Nov 2006)
• James Metcalfe Barlex

  IRN JMB01262

  • 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 2024)
  • [FCA CF] Functions requiring qualifications (since 19 Mar 2024)
• Jason Steve Botting

  IRN JSB00033

  • CF21 Investment Adviser (1 Jun 2005 to 22 Nov 2005)
• Jason William Lynch

  IRN JWL00023

  • CF21 Investment Adviser (21 Jun 2007 to 26 Oct 2007)
  • CF22 Investment Adviser (Trainee) (3 Jul 2006 to 21 Jun 2007)
• Jasvinder Singh Ahuja

  IRN JSA01050

  • CF30 Customer (18 Jul 2011 to 2 Jun 2016)

No changes recorded yet.