Ajmer Singh Somal

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.

  • Aurora Financial IFA Limited

    FRN 810372

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • Sole trader dealing with clients for which they require qualification (since 1 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 22 Oct 2018)
    • CF10 Compliance Oversight (22 Oct 2018 to 8 Dec 2019)
    • CF1 Director (22 Oct 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Oct 2018 to 8 Dec 2019)
    • CF30 Customer (22 Oct 2018 to 8 Dec 2019)
  • Clear Solutions (Wealth and Tax Management) Ltd (no longer approved here)

    FRN 429206

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 22 Nov 2021)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (22 Jul 2009 to 30 Dec 2011)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (11 Jan 2008 to 4 Nov 2009)
  • Ashwood Law Professional Link (JVC1) Limited (no longer approved here)

    FRN 223794

    • Employed By (14 Nov 2005 to 30 Dec 2006)

Recent activity

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

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