Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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The Pension Planner Ltd
FRN 669563
- 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)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Jun 2015 to 8 Dec 2019)
- CF1 Director (1 Jun 2015 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Jun 2015 to 8 Dec 2019)
- Responsible for Insurance Mediation (1 Jun 2015 to 30 Sep 2018)
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- CF30 Customer (11 Jan 2012 to 30 Jun 2015)
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- CF30 Customer (21 Oct 2009 to 4 Aug 2010)
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- Employed By (29 Jul 2009 to 28 Feb 2010)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.