Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Optimum Path Financial Planning Ltd
FRN 116336
- 7. Giving personal recommendations on long-term care insurance contracts
- 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)
- 11. Pension transfer specialist
- SMF16 Compliance Oversight (since 19 Nov 2024)
- Responsible for Insurance Distribution (since 25 Feb 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Feb 2022)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (25 Feb 2022 to 2 Oct 2023)
- CF1 Director (26 Mar 2014 to 8 Dec 2019)
- CF30 Customer (1 Jan 2012 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.