Lewis & Co (Investments & Pensions) Limited

• Principal Place of Business

  41 Commercial Road

  Poole

  Dorset

  BH14 0HU

  UNITED KINGDOM

  Phone

  +4401202718400

  Web

  https://www.lewisinvestment.co.uk

• Complaints Contact

  41 Commercial Road

  Poole

  Dorset

  BH14 0HU

  UNITED KINGDOM

  Phone

  +4401202718400

• 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

  Show 2 limitations Hide limitations

  • · 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

  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 Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling provided in connection with investment advice and buy-to-let mortgages

• 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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Simon James Warner

  IRN SJW01405

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Manager of certification employee (since 22 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (2 May 2018 to 8 Dec 2019)
  • CF30 Customer (27 Sep 2010 to 8 Dec 2019)
• Sophie Potts

  IRN SXP03050

  • 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)
  • SMF3 Executive Director (since 1 Jan 2024)
  • [FCA CF] Manager of certification employee (since 22 Aug 2022)
  • Responsible for Insurance Distribution (since 21 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jul 2022)
  • SMF16 Compliance Oversight (since 21 Jul 2022)
  • Responsibility for MCD Intermediation (since 21 Jul 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (30 Jul 2018 to 8 Dec 2019)
• Stephen Wales

  IRN SRW01082

  • CF30 Customer (1 Nov 2007 to 4 Jun 2008)
  • CF21 Investment Adviser (12 Jan 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (19 Dec 2005 to 12 Jan 2007)
• Steven John Wass

  IRN SJW01402

  • CF11 Money Laundering Reporting (12 Mar 2008 to 11 Aug 2009)
  • CF10 Compliance Oversight (12 Mar 2008 to 11 Jun 2009)
• Stewart Derek John Sparkes

  IRN SDS00006

  • CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2005)
• Thomas Nixon

  IRN TXN00094

  • [FCA CF] Client dealing (12 Jun 2023 to 1 Jul 2025)
  • [FCA CF] Functions requiring qualifications (12 Jun 2023 to 1 Jul 2025)
• Timothy Guy Lewis

  IRN TGL00002

  • 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)
  • 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)
  • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 18 Nov 2022)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 18 Nov 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 14 Jul 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 14 Jul 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.