Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ASCOT LLOYD FINANCIAL PLANNING LIMITED
FRN 144519
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Client dealing (since 3 Jul 2024)
- [FCA CF] Functions requiring qualifications (since 3 Jul 2024)
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- [FCA CF] Client dealing (27 Apr 2023 to 12 Mar 2024)
- [FCA CF] Functions requiring qualifications (27 Apr 2023 to 12 Mar 2024)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.