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)

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  • · 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.

• Guy Jerome Pearson

  IRN GXP00385

  • 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] Functions requiring qualifications (since 12 Nov 2024)
  • [FCA CF] Client dealing (since 12 Nov 2024)
• Helen Prosser

  IRN HMP01041

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Dec 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Dec 2020)
  • CF30 Customer (21 Jun 2010 to 17 Dec 2010)
• Helen Ruth Craft

  IRN HRC01015

  • CF30 Customer (17 Aug 2015 to 13 Aug 2018)
• James Richard Tee

  IRN JRT01077

  • CF11 Money Laundering Reporting (30 Aug 2002 to 16 May 2011)
  • CF1 Director (30 Aug 2002 to 29 Jul 2013)
• James Thomas Vernon Appleby

  IRN JTA00006

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • [FCA CF] Functions requiring qualifications (since 21 Jun 2022)
  • [FCA CF] Client dealing (since 21 Jun 2022)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 11 Feb 2019)
  • Responsible for Insurance Distribution (since 11 Feb 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 21 Jul 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Jul 2021)
  • CF10 Compliance Oversight (11 Feb 2019 to 8 Dec 2019)
  • CF30 Customer (11 Feb 2019 to 8 Dec 2019)
  • CF1 Director (11 Feb 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Feb 2019 to 8 Dec 2019)
• Jeremy George Arthur Charles

  IRN JGC01043

  • CF30 Customer (2 Dec 2013 to 20 Aug 2014)
• Jill Carole Chalmers-Smith

  IRN JCV00004

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 (6 May 2008 to 8 Dec 2019)
• Joanna Jane Trueman

  IRN JJT01039

  • CF30 Customer (4 Apr 2008 to 21 Dec 2010)
  • CF27 Investment Management (9 Oct 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (9 Oct 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (14 Nov 2005 to 5 Oct 2006)
• Jonathan Magnus Goodfellow

  IRN JMG01058

  • CF30 Customer (5 Dec 2017 to 1 Feb 2018)
• Jonathon Lee Clarke

  IRN JLC01124

  • CF30 Customer (7 Jul 2014 to 7 Jul 2014)

• 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.