Burgess & Lee Limited

• Principal Place of Business

  8 Portman Terrace

  Seabourne Road

  Bournemouth

  Dorset

  BH5 2HP

  UNITED KINGDOM

  Phone

  +4401202427586

  Web

  https://www.burgessandlee.co.uk

• Complaints Contact

  8 Portman Terrace

  Seabourne Road

  Bournemouth

  Dorset

  BH5 2HP

  UNITED KINGDOM

  Phone

  +441202427586

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Investment Advice (no pensions)

  For Commercial, Professional, 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.

• Arranges Investments

  For Commercial, Professional, 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

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, 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.

• Alan Roy West

  IRN ARW00026

  • CF22 Investment Adviser (Trainee) (15 Dec 2003 to 19 Feb 2003)
  • CF21 Investment Adviser (19 Feb 2003 to 21 Nov 2003)
• Brian James Filburn

  IRN BXF23552

  • 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] Client dealing (since 13 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 13 Sep 2021)
• Brian William Smith

  IRN BWS00006

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 18 Mar 2013)
• Christopher Richard Nathan Bourne

  IRN CRB01130

  • 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 17 Apr 2023)
  • [FCA CF] Client dealing (since 17 Apr 2023)
• Daniel Roy Parkin

  IRN DXP00149

  • CF30 Customer (1 Apr 2011 to 23 Dec 2013)
• David John Stone

  IRN DJS00068

  • CF11 Money Laundering Reporting (29 May 2009 to 10 Sep 2014)
  • CF30 Customer (1 Nov 2007 to 10 Sep 2014)
  • CF24 Pension Transfer Specialist (14 May 2004 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (14 May 2004 to 12 Jan 2005)
  • CF1 Director (4 Feb 2004 to 10 Sep 2014)
  • CF21 Investment Adviser (28 May 2003 to 31 Oct 2007)
• Diane Harrop

  IRN DXH00060

  • CF21 Investment Adviser (31 Oct 2005 to 22 Dec 2006)
• Emma Louise Mills

  IRN ELM01032

  • CF30 Customer (20 Oct 2015 to 5 Apr 2016)
• Howard Gordon Lee

  IRN HGL00003

  • 9A. Advising on P2P agreements
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Apr 2021)
  • CF11 Money Laundering Reporting (5 Jan 2015 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Aug 2005 to 8 Dec 2019)
  • CF13 Finance (30 Aug 2005 to 31 Oct 2007)
  • CF3 Chief Executive (30 Aug 2005 to 30 Aug 2005)
  • CF8 Apportionment and Oversight (30 Aug 2005 to 31 Mar 2009)
  • CF21 Investment Adviser (10 Apr 2002 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Jack Andrew Bosworth

  IRN JXB00830

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 12 Feb 2024)
  • [FCA CF] Client dealing (since 12 Feb 2024)

• L & M Mortgages Ltd (no longer appointed)

  FRN 464080 · Appointed 16 Feb 2007 · Until 7 Apr 2009

No changes recorded yet.