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.

• Leslie Douglas

  IRN LXD01091

  • CF30 Customer (1 Jan 2008 to 21 Dec 2012)
• Linda Jayne Taylor

  IRN LJT00003

  • 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] Client dealing (since 19 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
  • CF30 Customer (10 Apr 2019 to 8 Dec 2019)
• Linda Margaret Samson

  IRN LMS00018

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
• Mark Andrew Bennett

  IRN MAB00038

  • 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 (24 Dec 2016 to 8 Dec 2019)
• Mark Paul Reed

  IRN MPR00010

  • CF30 Customer (7 May 2010 to 2 Nov 2011)
• Mark Robert Santer

  IRN MRS00054

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 1 Oct 2025)
  • [FCA CF] Client dealing (19 Dec 2019 to 1 Oct 2025)
  • CF30 Customer (30 Oct 2015 to 8 Dec 2019)
• Matthew Cove

  IRN MXC00061

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Nov 2025)
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Jun 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Jun 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Jun 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (1 Jun 2005 to 30 Sep 2018)
• Michael Philip Willoughby

  IRN MPW00001

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 27 Nov 2020)
  • [FCA CF] Client dealing (since 19 Dec 2019)
• Michael Robert Thomson Sinclair

  IRN MXS01607

  • 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 19 Dec 2019)
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • CF30 Customer (7 May 2015 to 8 Dec 2019)
• Mike Payne

  IRN MFP00010

  • 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] Client dealing (since 19 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
  • CF30 Customer (18 Apr 2012 to 8 Dec 2019)

No changes recorded yet.