LEWIS CAPITAL MANAGEMENT LIMITED

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, 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.
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Senior staff personally approved by the FCA to hold their roles here.

Andrew Raymond Evans
IRN ARE01040
- CF30 Customer (24 Apr 2014 to 4 Mar 2015)
Darren Agombar
IRN DXA01208
- CF1 Director (25 Apr 2013 to 31 Dec 2017)
- CF30 Customer (25 Apr 2013 to 31 Dec 2017)
Fiona Mary Garvey
IRN FMG01033
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (25 Apr 2013 to 8 Dec 2019)
Kristan Michael Ward
IRN KMW01040
- 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 4 Apr 2022)
- [FCA CF] Functions requiring qualifications (since 4 Apr 2022)
- CF30 Customer (25 Apr 2013 to 8 Dec 2019)
Sophie Potts
IRN SXP03050
- SMF16 Compliance Oversight (since 21 Jul 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jul 2022)
Timothy Guy Lewis
IRN TGL00002
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2022)
- CF1 Director (25 Apr 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (25 Apr 2013 to 8 Dec 2019)
- CF30 Customer (25 Apr 2013 to 8 Dec 2019)
- CF10 Compliance Oversight (25 Apr 2013 to 8 Dec 2019)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.