Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Legacy Planning Partners Ltd
FRN 1032953
- 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
- [FCA CF] Functions requiring qualifications (since 4 Nov 2025)
- [FCA CF] Client dealing (since 4 Nov 2025)
- Responsible for Insurance Distribution (since 16 Oct 2025)
- SMF16 Compliance Oversight (since 16 Oct 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Oct 2025)
- SMF3 Executive Director (since 16 Oct 2025)
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- CF30 Customer (22 Jan 2010 to 29 Jun 2012)
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- CF21 Investment Adviser (23 Oct 2006 to 2 Oct 2007)
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- CF21 Investment Adviser (30 Nov 2002 to 30 May 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.