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.

• Laura Bird

  IRN LLP01008

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Feb 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Feb 2020)
  • CF30 Customer (3 Oct 2013 to 8 Dec 2019)
• Laura Blyth

  IRN LXB01975

  • [FCA CF] Functions requiring qualifications (5 Sep 2022 to 13 May 2025)
  • [FCA CF] Client dealing (5 Sep 2022 to 13 May 2025)
• Louie James Peter Davies

  IRN LXD00194

  • 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 4 Jan 2023)
  • [FCA CF] Client dealing (since 4 Jan 2023)
• Mark Roy Norris

  IRN MRM00027

  • 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 28 Sep 2023)
  • [FCA CF] Client dealing (since 28 Sep 2023)
• Martyn Victor Peter Allum

  IRN MVA00002

  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Dec 2018)
  • Responsibility for MCD Intermediation (5 Dec 2016 to 31 Dec 2018)
  • CF10 Compliance Oversight (17 Dec 2015 to 31 Dec 2018)
  • Responsible for Insurance Mediation (17 Dec 2015 to 30 Sep 2018)
  • CF1 Director (23 Jun 2015 to 31 Dec 2018)
  • CF11 Money Laundering Reporting (23 Jun 2015 to 31 Dec 2018)
• Michael David Day

  IRN MDD00019

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Jul 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Jul 2021)
  • CF30 Customer (7 Nov 2018 to 8 Dec 2019)
• Michael Graham Henry

  IRN MGH01132

  • CF1 Director (19 May 2014 to 15 Jun 2015)
  • CF11 Money Laundering Reporting (19 May 2014 to 15 Jun 2015)
• Michael Stephen Smith

  IRN MSS00023

  • CF21 Investment Adviser (1 Aug 2003 to 8 Jun 2007)
• Michelle Groves

  IRN MXB02206

  • CF30 Customer (8 Feb 2013 to 30 Dec 2015)
• Neil Arthur Jefferies

  IRN NAJ00001

  • CF10 Compliance Oversight (16 Nov 2012 to 30 Nov 2015)
  • CF30 Customer (16 Nov 2012 to 30 Nov 2015)
  • Responsible for Insurance Mediation (16 Nov 2012 to 30 Nov 2015)
  • CF1 Director (1 Nov 2012 to 30 Nov 2015)

• 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.