Paul Lewis

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.

  • Polygon Financial Ltd

    FRN 435238

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 20 Jul 2017)
    • Responsible for Insurance Mediation (20 Jul 2017 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (31 May 2017 to 21 Nov 2019)
    • CF10 Compliance Oversight (31 May 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Aug 2007 to 31 Oct 2007)
    • CF1 Director (2 Aug 2007 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (28 Nov 2006 to 17 Aug 2007)
    • CF7 Sole Trader (AR) (21 Sep 2005 to 19 Dec 2005)
    • CF22 Investment Adviser (Trainee) (21 Sep 2005 to 28 Nov 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 19 Aug 2005)

Recent activity

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

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