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.

• Joshua Thomas Young de Ferrer

  IRN JTY01003

  • CF30 Customer (7 Jul 2015 to 20 May 2016)
• Julius Hill

  IRN JEH00028

  • CF30 Customer (9 May 2014 to 25 Jun 2014)
  • CF1 Director (AR) (9 May 2014 to 25 Jun 2014)
• Karen Lesley McGrath

  IRN KXL01184

  • CF30 Customer (17 Aug 2015 to 13 Aug 2018)
• Keith Darryl Whitton

  IRN KDW01038

  • 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 7 Jul 2021)
  • [FCA CF] Client dealing (since 7 Jul 2021)
• Kersi Deboo

  IRN KXD00003

  • CF1 Director (1 Apr 2017 to 16 Feb 2018)
  • CF30 Customer (9 Jan 2009 to 13 Mar 2018)
• Kevin Michael Palmer

  IRN KMP00016

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Sep 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Sep 2020)
  • CF30 Customer (11 Dec 2017 to 8 Dec 2019)
• Kieran Joseph Follis

  IRN KJF01037

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Feb 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Feb 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Feb 2020)
  • CF10a CASS Oversight function (8 Mar 2016 to 10 Jul 2018)
  • CF1 Director (7 Jan 2016 to 10 Jul 2018)
  • CF30 Customer (14 Sep 2015 to 8 Dec 2019)
• Kieron David Willis

  IRN KDW01028

  • 11. Pension transfer specialist
  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Oct 2016 to 8 Dec 2019)
• Kim Holding

  IRN KSH01045

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Mar 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Mar 2020)
  • CF30 Customer (8 Nov 2016 to 8 Dec 2019)
• Kirsty Blyth

  IRN KLK01023

  • CF30 Customer (24 Jun 2015 to 20 May 2016)

• 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.