Arran James Broad

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Moneytree Wealth Management Ltd
FRN 537029
- (11)Employed By (since 9 Apr 2024)
QUILTER FINANCIAL SERVICES LIMITED
FRN 440703
- 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)
- Appointed representative dealing with clients for which they require qualification (since 29 Jun 2023)
- CF30 Customer (since 19 Jun 2023)
Quilter Financial Advisers Ltd (no longer approved here)
FRN 452529
- (597)Employed By (19 Jun 2023 to 19 Apr 2024)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.