Howard John Pearce

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Lewis & Co (Investments & Pensions) Limited

    FRN 143646

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
    • [FCA CF] Client dealing (since 4 Jan 2021)
    • CF30 Customer (1 Nov 2007 to 24 Dec 2008)
    • CF24 Pension Transfer Specialist (7 Jul 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (27 Aug 2002 to 31 Oct 2007)
  • Ingenuity Financial Services Limited

    FRN 609997

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Oct 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Oct 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 21 Oct 2020)
    • CF11 Money Laundering Reporting (2 May 2014 to 8 Dec 2019)
    • CF1 Director (2 May 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 May 2014 to 8 Dec 2019)
    • CF30 Customer (2 May 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 May 2014 to 30 Sep 2018)
  • Killik & Co LLP (no longer approved here)

    FRN 462016

    • CF30 Customer (23 Dec 2010 to 29 Feb 2012)

Recent activity

Updates to this individual's record on the FCA register.

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