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.

• Samuel Mather-Holgate

  IRN SXM02294

  • CF30 Customer (12 Mar 2010 to 2 Sep 2011)
• Saul Anthony Jackson

  IRN SAJ01065

  • 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 (14 Jun 2016 to 8 Dec 2019)
• Sean Billins

  IRN SXB00102

  • [FCA CF] Client dealing (19 Dec 2019 to 30 Sep 2022)
  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 30 Sep 2022)
  • CF30 Customer (14 Nov 2011 to 8 Dec 2019)
• Sean Joseph Patrick Fox

  IRN SJF00042

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 18 Feb 2024)
  • [FCA CF] Client dealing (19 Dec 2019 to 18 Feb 2024)
  • CF30 Customer (22 Apr 2009 to 8 Dec 2019)
• Shane Wade

  IRN SXW00127

  • 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 19 Dec 2019)
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Jul 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (13 Jul 2005 to 14 Jul 2006)
• Simon John Blaxsell

  IRN SJB00067

  • CF30 Customer (1 Nov 2007 to 10 Feb 2014)
  • CF21 Investment Adviser (4 Dec 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (10 Oct 2005 to 4 Dec 2006)
• Simon John Stapleton

  IRN SJS01241

  • CF30 Customer (6 Jan 2012 to 24 Dec 2012)
• Simon Mark Edwin Collins

  IRN SMC01196

  • [FCA CF] Client dealing (19 Dec 2019 to 12 Mar 2025)
  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 12 Mar 2025)
• Stephanie Vagg

  IRN SAV00003

  • CF30 Customer (16 Aug 2013 to 26 Oct 2015)
• Stephen Ayres

  IRN SXA00087

  • 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 25 Jan 2023)
  • [FCA CF] Client dealing (since 25 Jan 2023)

No changes recorded yet.