Bassim Basma

Last updated
6 days ago
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Where they hold approval

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

  • Basma Wealth Management Limited

    FRN 963129

    • 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 2 Mar 2022)
    • [FCA CF] Client dealing (since 2 Mar 2022)
    • Responsible for Insurance Distribution (since 1 Mar 2022)
    • SMF16 Compliance Oversight (since 1 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Mar 2022)
    • SMF3 Executive Director (since 1 Mar 2022)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Feb 2022)
    • CF30 Customer (30 Sep 2011 to 28 Feb 2022)
  • Falcon Financial Advice Limited (no longer approved here)

    FRN 401814

    • (87)Employed By (4 Oct 2011 to 28 Feb 2022)

Recent activity

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

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