Adam Thomas Downes

Last updated
6 days ago
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Where they hold approval

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

  • Pura Vida Financial Planning Ltd

    FRN 950060

    • 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)
    • [FCA CF] Functions requiring qualifications (since 13 Jul 2021)
    • Responsible for Insurance Distribution (since 13 Jul 2021)
    • SMF16 Compliance Oversight (since 13 Jul 2021)
    • SMF3 Executive Director (since 13 Jul 2021)
    • [FCA CF] Client dealing (since 13 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (13 Jul 2021 to 9 Apr 2025)
  • LIVE SMART FINANCIAL PLANNING LTD (no longer approved here)

    FRN 778483

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Mar 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 12 Mar 2021)
    • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
  • Smart Financial Planning Ltd (no longer approved here)

    FRN 484300

    • CF30 Customer (30 Sep 2012 to 16 Dec 2012)

Recent activity

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

No changes recorded yet.