Ben Liam Austin

Watch for changes

Where they hold approval

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

2 Plan Wealth Management Limited
FRN 461598
- 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
- Appointed representative dealing with clients for which they require qualification (since 22 Sep 2025)
- CF30 Customer (since 1 Sep 2025)
Rockbridge Financial Solutions Ltd
FRN 994497
- (2)Employed By (since 1 Sep 2025)
Openwork Limited (no longer approved here)
FRN 408285
- CF30 Customer (27 Apr 2022 to 14 Oct 2024)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 14 Oct 2024)
Riverside Financial Consultants Limited (no longer approved here)
FRN 473223
- (12)Employed By (27 Apr 2022 to 14 Oct 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.