Amit Mittal

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.

  • Expert Independent Financial Planning Limited

    FRN 914522

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 5 May 2020)
    • [FCA CF] Client dealing (since 5 May 2020)
    • Responsibility for MCD Intermediation (since 4 May 2020)
    • SMF3 Executive Director (since 4 May 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 May 2020)
    • SMF16 Compliance Oversight (since 4 May 2020)
    • Responsible for Insurance Distribution (since 4 May 2020)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (1 Apr 2017 to 3 Jun 2020)
  • One Financial Solutions Ltd (no longer approved here)

    FRN 607130

    • (14)Employed By (1 Apr 2017 to 3 Jun 2020)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 31 Mar 2017)
    • CF30 Customer (6 Jan 2014 to 6 Mar 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 29 Aug 2012)
    • CF21 Investment Adviser (16 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Jul 2007 to 16 Aug 2007)

Recent activity

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

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