Lawrence Stephen Newell

Last updated
5 days ago
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Where they hold approval

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

  • Blackthorn Financial Services Ltd

    FRN 951050

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • Responsibility for MCD Intermediation (since 1 Sep 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2021)
    • [FCA CF] Client dealing (since 1 Sep 2021)
    • SMF3 Executive Director (since 1 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Sep 2021)
    • SMF16 Compliance Oversight (since 1 Sep 2021)
    • Responsible for Insurance Distribution (since 1 Sep 2021)
    • [FCA CF] Significant management (1 Sep 2021 to 5 Aug 2022)
    • [FCA CF] CASS oversight function (1 Sep 2021 to 5 Aug 2022)
    • [FCA CF] Manager of certification employee (1 Sep 2021 to 5 Aug 2022)
  • Cherwell Financial Services Limited (no longer approved here)

    FRN 624548

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
    • SMF3 Executive Director (9 Dec 2019 to 1 Sep 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Aug 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Aug 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Sep 2021)
    • Responsible for Insurance Mediation (1 Sep 2014 to 30 Sep 2018)
    • CF1 Director (1 Sep 2014 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2014 to 8 Dec 2019)
  • Cherwell Financial Services Ltd (no longer approved here)

    FRN 602996

    • Employed By (1 Jul 2013 to 31 Aug 2014)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (7 Jan 2005 to 8 Jun 2005)
    • CF22 Investment Adviser (Trainee) (19 May 2004 to 7 Jan 2005)

Recent activity

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

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