Timothy Guy 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.

  • Ingenuity Financial Services Limited

    FRN 609997

    • SMF3 Executive Director (since 1 Feb 2021)
    • Responsibility for MCD Intermediation (23 Aug 2021 to 31 Mar 2023)
    • Responsible for Insurance Distribution (1 Feb 2021 to 31 Mar 2023)
    • SMF16 Compliance Oversight (1 Feb 2021 to 31 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Feb 2021 to 31 Mar 2023)
  • 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)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 18 Nov 2022)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 18 Nov 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 14 Jul 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 14 Jul 2005)
  • LEWIS CAPITAL MANAGEMENT LIMITED

    FRN 584566

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 Nov 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 18 Nov 2022)
    • CF1 Director (25 Apr 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Apr 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (25 Apr 2013 to 8 Dec 2019)

Recent activity

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

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