Lowes Investment Management Limited

• Principal Place of Business

  Fernwood House

  Clayton Road

  Newcastle upon Tyne

  Tyne and Wear

  NE2 1TL

  UNITED KINGDOM

  Phone

  +4401912818811

  Web

  https://www.lowesim.co.uk

• Complaints Contact

  4500 Parkway

  Whiteley

  FAREHAM

  PO15 7AZ

  UNITED KINGDOM

  Phone

  +4401489663700

• 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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)" 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Adam Jamie Michael Long

  IRN AJL01323

  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
  • [FCA CF] Manager of certification employee (since 1 Jul 2025)
• Andy David Harris

  IRN ADH00011

  • CF21 Investment Adviser (1 Dec 2001 to 7 Mar 2002)
• Barry John Francis Hopper

  IRN BJH01105

  • SMF3 Executive Director (11 Jul 2023 to 30 Jun 2025)
• Barry William Strathearn

  IRN BWS01049

  • SMF3 Executive Director (4 Jun 2020 to 29 Oct 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Oct 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 29 Oct 2022)
  • CF11 Money Laundering Reporting (1 Apr 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Apr 2019 to 8 Dec 2019)
• Caroline Jean Robinson

  IRN CJR00001

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jan 2025)
  • CF2 Non Executive Director (16 Feb 2010 to 8 Dec 2019)
• Charles Rupert James Ambler

  IRN CRA01065

  • 14. Managing investments
  • [FCA CF] Client dealing (since 29 Jul 2025)
  • [FCA CF] Manager of certification employee (since 29 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 29 Jul 2025)
• Christopher Robert Bradley

  IRN CRB01177

  • SMF17 Money Laundering Reporting Officer (MLRO) (6 Jan 2023 to 31 May 2025)
  • SMF16 Compliance Oversight (6 Jan 2023 to 31 May 2025)
• Claire Lockey

  IRN CXL00495

  • Director of firm who is not a certification employee or a SMF manager (1 Jul 2024 to 31 Jan 2025)
• Colin Archibald Dickie

  IRN CAD01046

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jan 2025)
  • CF2 Non Executive Director (4 Mar 2019 to 8 Dec 2019)
• David John Hall

  IRN DJH00138

  • CF21 Investment Adviser (13 Mar 2002 to 2 Apr 2004)
  • CF10 Compliance Oversight (13 Mar 2002 to 2 Apr 2004)
  • CF11 Money Laundering Reporting (13 Mar 2002 to 2 Apr 2004)

No changes recorded yet.