Adrian Arnold

Last updated
1 week ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 11. Pension transfer specialist
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 30 Oct 2019)
    • CF30 Customer (since 30 Oct 2019)
  • Treetops Financial Planning Ltd

    FRN 915491

    • Employed By (since 30 Oct 2019)
  • Headingley Golf Club Limited (no longer approved here)

    FRN 672305

    • CF2 Non Executive Director (11 Sep 2015 to 30 Mar 2019)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 8 Dec 2008)
    • CF21 Investment Adviser (7 Apr 2005 to 31 Oct 2007)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF26 Customer Trading (12 Jul 2004 to 8 Mar 2005)
    • CF21 Investment Adviser (1 Nov 2002 to 1 Nov 2002)
  • Northern Bank Limited (no longer approved here)

    FRN 122261

    • CF26 Customer Trading (12 Jul 2004 to 28 Feb 2005)
    • CF21 Investment Adviser (1 Nov 2002 to 1 Nov 2002)
  • National Australia Bank Limited (no longer approved here)

    FRN 141309

    • CF21 Investment Adviser (12 Jul 2004 to 8 Mar 2005)
    • CF26 Customer Trading (30 Apr 2003 to 30 Apr 2003)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (21 May 2004 to 2 Jul 2004)

Recent activity

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

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