Tees Financial Limited

• Principal Place of Business

  Tees House

  95 London Road

  Bishop's Stortford

  Hertfordshire

  CM23 3GW

  UNITED KINGDOM

  Phone

  +441279658304

  Web

  https://www.teeslaw.com

• Complaints Contact

  Tees House

  95 London Road

  Bishop's Stortford

  Herts

  CM23 3GW

  UNITED KINGDOM

  Phone

  +441279658304

• 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

  For Professional, Retail (Investment)

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

  Show 1 limitation Hide limitations

  • · Limited to credit broking which is not for the purposes of increasing the funds available for investment

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Christopher Iain Longman

  IRN CIL01002

  • 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 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 4 Aug 2020)
• Daniel Colin Bowen

  IRN DCB01183

  • [FCA CF] Client dealing (30 Jul 2020 to 6 Jun 2025)
  • [FCA CF] Functions requiring qualifications (30 Jul 2020 to 6 Jun 2025)
• David Blackman

  IRN DXB00120

  • 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 16 Aug 2023)
  • [FCA CF] Client dealing (since 16 Aug 2023)
• David Ian Redfern

  IRN DIR01014

  • Director of firm who is not a certification employee or a SMF manager (since 24 Jan 2023)
  • SMF9 Chair of the Governing Body (22 Dec 2022 to 15 Jul 2025)
  • SMF3 Executive Director (9 Dec 2019 to 24 Jan 2023)
  • CF1 Director (AR) (1 Sep 2004 to 31 Oct 2006)
  • CF8 Apportionment and Oversight (30 Aug 2002 to 31 Oct 2007)
  • CF10 Compliance Oversight (30 Aug 2002 to 18 Nov 2008)
  • CF1 Director (30 Aug 2002 to 8 Dec 2019)
• Dominic Gregory Sheehan

  IRN DGS01058

  • CF1 Director (15 Apr 2009 to 2 Sep 2015)
  • CF30 Customer (1 Nov 2007 to 2 Sep 2015)
  • CF21 Investment Adviser (26 Jan 2007 to 31 Oct 2007)
  • CF27 Investment Management (18 Dec 2006 to 31 Oct 2007)
• Duncan Edward Scott

  IRN DES01051

  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2006)
  • CF1 Director (AR) (1 Sep 2004 to 30 Sep 2006)
  • CF21 Investment Adviser (17 Sep 2002 to 30 Sep 2006)
  • CF1 Director (30 Aug 2002 to 30 Sep 2006)
  • CF3 Chief Executive (30 Aug 2002 to 30 Sep 2006)
  • CF27 Investment Management (30 Aug 2002 to 30 Sep 2006)
• Gary Robert Brawley

  IRN GRB01112

  • Responsible for Insurance Mediation (29 Mar 2012 to 9 Nov 2012)
  • CF10 Compliance Oversight (27 Feb 2012 to 17 Dec 2012)
  • CF30 Customer (4 Jan 2012 to 17 Dec 2012)
• Gavin George Johnson

  IRN GGJ00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 May 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 May 2022)
  • CF30 Customer (1 Mar 2018 to 8 Dec 2019)
• George Rutt

  IRN GXR00015

  • CF30 Customer (1 Nov 2007 to 27 Jun 2011)
  • CF1 Director (30 Aug 2002 to 1 Sep 2005)
  • CF21 Investment Adviser (30 Aug 2002 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (30 Aug 2002 to 31 Oct 2007)
• Govan Paul Raymond Bramley

  IRN GPB01066

  • CF1 Director (30 Aug 2002 to 31 Mar 2017)

• Beauwater Mortgages Limited (no longer appointed)

  FRN 621905 · Appointed 23 Apr 2014 · Until 25 Jun 2014

• Mortgage Overseas Ltd (no longer appointed)

  FRN 402977 · Appointed 17 Aug 2004 · Until 31 Oct 2006

No changes recorded yet.