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

  Show 2 limitations Hide limitations

  • · 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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.

• Rajinder Singh Kalsi

  IRN RSK00006

  • CF30 Customer (24 May 2017 to 4 Jul 2018)
• Rakhee Wood

  IRN RXP01361

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 16 Jul 2021)
  • CF30 Customer (24 Aug 2017 to 8 Dec 2019)
• Raymond Dennis Boon

  IRN RDB00005

  • CF30 Customer (31 Aug 2010 to 6 Feb 2017)
• Raymond Henry Winsley

  IRN RHW00002

  • CF30 Customer (12 Jan 2009 to 10 Apr 2009)
• Rebecca Sally-Jane Lines

  IRN RSL01033

  • CF21 Investment Adviser (1 Jun 2005 to 30 Apr 2007)
• Richard Alan Cakans

  IRN RAC01159

  • 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 16 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 16 Jun 2025)
  • [PRA CF] Significant risk taker or Material risk taker (16 Jun 2025 to 17 Jun 2025)
• Richard Anthony Chapman

  IRN RAC00020

  • CF30 Customer (1 Nov 2007 to 22 Feb 2009)
  • CF21 Investment Adviser (14 Jul 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (12 Sep 2005 to 14 Jul 2006)
• Richard Paul Robaczynski

  IRN RPR00007

  • 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)
• Robert Dunn

  IRN RXD00052

  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
  • CF30 Customer (5 Aug 2016 to 8 Dec 2019)
• Roger William Gunner

  IRN RWG00010

  • CF30 Customer (1 Oct 2009 to 31 May 2011)

No changes recorded yet.