Catherine Eley-Gaunt

Last updated
2 weeks ago
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Where they hold approval

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

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • Appointed representative dealing with clients for which they require qualification (since 10 Dec 2019)
    • CF1 Director (AR) (since 11 Jul 2019)
    • CF30 Customer (since 24 Sep 2013)
    • [FCA CF] Client dealing (10 Dec 2019 to 7 Jul 2023)
  • Elegant Wealth Management Ltd

    FRN 845578

    • (1)Employed By (since 11 Jul 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 20 Feb 2011)
    • CF21 Investment Adviser (18 Jul 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Jul 2002)

Recent activity

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

No changes recorded yet.