Sophie Potts

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Lewis & Co (Investments & Pensions) Limited

    FRN 143646

    • 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
    • SMF3 Executive Director (since 1 Jan 2024)
    • [FCA CF] Manager of certification employee (since 22 Aug 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jul 2022)
    • Responsibility for MCD Intermediation (since 21 Jul 2022)
    • Responsible for Insurance Distribution (since 21 Jul 2022)
    • SMF16 Compliance Oversight (since 21 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (30 Jul 2018 to 8 Dec 2019)
  • LEWIS CAPITAL MANAGEMENT LIMITED

    FRN 584566

    • SMF16 Compliance Oversight (since 21 Jul 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jul 2022)
  • Ingenuity Financial Services Limited

    FRN 609997

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jul 2022)
    • Responsibility for MCD Intermediation (since 21 Jul 2022)
    • Responsible for Insurance Distribution (since 21 Jul 2022)
    • SMF16 Compliance Oversight (since 21 Jul 2022)

Recent activity

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

No changes recorded yet.