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.

• Stephen Paul Parker

  IRN SPP01047

  • CF30 Customer (16 Jun 2008 to 15 May 2009)
• Steven Paul McLaughlin

  IRN SPM00066

  • CF22 Investment Adviser (Trainee) (1 Jun 2005 to 10 Aug 2005)
• Susan Whittick

  IRN SXB02246

  • [FCA CF] Client dealing (23 Jul 2021 to 2 Oct 2025)
  • [FCA CF] Functions requiring qualifications (23 Jul 2021 to 2 Oct 2025)
• Terence Patrick Kelly

  IRN TPK00002

  • CF30 Customer (1 Nov 2007 to 20 Dec 2009)
  • CF22 Investment Adviser (Trainee) (1 Jun 2005 to 31 Oct 2007)
• Thomas Burrill

  IRN TXB01813

  • [FCA CF] Functions requiring qualifications (28 May 2021 to 30 Dec 2022)
  • [FCA CF] Client dealing (18 May 2021 to 30 Dec 2022)
• Timothy James Eldridge

  IRN TJE00004

  • 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 (19 May 2011 to 8 Dec 2019)
• Timothy Neilson

  IRN TCN00001

  • CF30 Customer (26 May 2015 to 22 Feb 2016)
• Tom Broad

  IRN TXB00094

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 18 Dec 2020)
• Van Sheldon Greaves

  IRN VXG00010

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Feb 2026)
  • [FCA CF] Functions requiring qualifications (since 9 Feb 2026)
• Vincent Antonio Carratala

  IRN VXC01060

  • CF30 Customer (23 Apr 2012 to 30 Sep 2013)

No changes recorded yet.