Leo Alexander Wealth & Financial Management Limited

• Principal Place of Business

  244 Fulwood Road

  Sheffield

  S10 3AA

  UNITED KINGDOM

  Phone

  +4401142903697

  Web

  https://www.lawfm.co.uk

• Complaints Contact

  244 Fulwood Road

  Sheffield

  S10 3AA

  UNITED KINGDOM

  Phone

  +4401142903697

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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), 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), 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

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• 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), 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Alex Jake Smith

  IRN AXS05313

  • [FCA CF] Functions requiring qualifications (21 Oct 2024 to 28 Mar 2025)
• Andrew Patrick Waldron Johnston

  IRN APJ01044

  • 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
  • 14. Managing investments
  • 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)
  • CF30 Customer (26 May 2015 to 8 Dec 2019)
• Anthony James Roddis

  IRN AXR00171

  • [FCA CF] Functions requiring qualifications (24 Jan 2020 to 31 Mar 2021)
  • [FCA CF] Client dealing (24 Jan 2020 to 31 Mar 2021)
• Charlotte Elizabeth May Reynolds

  IRN CXR14399

  • SMF16 Compliance Oversight (16 Mar 2022 to 31 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (16 Mar 2022 to 31 May 2023)
  • [FCA CF] Client dealing (25 Mar 2021 to 31 May 2023)
  • [FCA CF] Functions requiring qualifications (25 Mar 2021 to 31 May 2023)
• Joseph Robert Tighe

  IRN JXT00329

  • [FCA CF] Client dealing (21 Jun 2021 to 10 Jun 2022)
  • [FCA CF] Functions requiring qualifications (21 Jun 2021 to 10 Jun 2022)
• Kathryn Ann Bishop

  IRN KXB00687

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 17 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 8 Aug 2025)
• Marcus Eric Lee warburton

  IRN MXW01375

  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jun 2023)
  • SMF16 Compliance Oversight (since 16 Jun 2023)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Jul 2021)
  • CF30 Customer (13 Feb 2015 to 8 Dec 2019)
  • CF3 Chief Executive (13 Feb 2015 to 8 Dec 2019)
  • CF1 Director (13 Feb 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (13 Feb 2015 to 30 Sep 2018)
• Nicola Sara Duffey

  IRN NSD01043

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Sep 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 24 Sep 2021)
  • CF10 Compliance Oversight (13 Feb 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Feb 2015 to 8 Dec 2019)
• Ryan Jack Neil

  IRN RXN11413

  • CF30 Customer (12 Feb 2019 to 8 Dec 2019)
• Victoria Kathleen Witting

  IRN VKH01004

  • CF30 Customer (13 Feb 2015 to 30 Apr 2017)

No changes recorded yet.