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.

• Neil Brian Matten

  IRN NBM01017

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Mar 2025)
  • CF30 Customer (7 Jul 2014 to 8 Dec 2019)
• Nicholas James Coey

  IRN NJC01211

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Aug 2019 to 8 Dec 2019)
• Oliver John Parsons

  IRN OXP06019

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Feb 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Feb 2020)
  • CF30 Customer (10 Sep 2018 to 8 Dec 2019)
• Paul Robert Stothard

  IRN PRS01133

  • CF10a CASS Oversight function (1 Oct 2011 to 23 Dec 2015)
  • CF11 Money Laundering Reporting (23 May 2011 to 19 May 2014)
  • CF1 Director (2 Aug 2010 to 23 Dec 2015)
• Richard Kevin William Lee

  IRN RKL01012

  • CF30 Customer (12 Jun 2013 to 3 Jun 2016)
• Roger Edward Spearing

  IRN RES00006

  • Responsible for Insurance Mediation (18 Nov 2008 to 22 Mar 2012)
  • CF10 Compliance Oversight (18 Nov 2008 to 14 Feb 2012)
  • CF30 Customer (1 Nov 2007 to 11 May 2012)
  • CF1 Director (6 Nov 2006 to 11 May 2012)
  • CF21 Investment Adviser (30 Aug 2002 to 31 Oct 2007)
• Sandra Josephine Nash

  IRN SJN01073

  • CF30 Customer (1 Nov 2007 to 14 Aug 2008)
  • CF24 Pension Transfer Specialist (24 Sep 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (30 Aug 2002 to 20 Dec 2006)
• William James Spencer Lynne

  IRN WJL01020

  • [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 (6 Dec 2017 to 8 Dec 2019)

• 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.