Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ASCOT LLOYD FINANCIAL PLANNING LIMITED
FRN 144519
- 7. Giving personal recommendations on long-term care insurance contracts
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 25 Sep 2020)
- [FCA CF] Client dealing (since 25 Sep 2020)
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- CF30 Customer (13 Jun 2017 to 12 Jan 2018)
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- CF30 Customer (25 Oct 2016 to 2 Jun 2017)
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- CF21 Investment Adviser (7 Apr 2006 to 29 Oct 2007)
- CF22 Investment Adviser (Trainee) (27 Jul 2005 to 7 Apr 2006)
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- CF21 Investment Adviser (7 Apr 2006 to 29 Oct 2007)
- CF22 Investment Adviser (Trainee) (27 Jul 2005 to 7 Apr 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.