Christopher Mark Oakes

Last updated
1 week ago
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Where they hold approval

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

  • Croft & Oakes Financial Planners Limited

    FRN 731020

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (23 Jun 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (23 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (23 Jun 2016 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (17 Nov 2014 to 24 Jun 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 1 Jun 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.