Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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City Financial Planning (Exeter) Limited
FRN 460195
- 21. Advising or arranging (bringing about) equity release transactions
- 7. Giving personal recommendations on long-term care insurance contracts
- 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 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsible for Insurance Distribution (1 Oct 2018 to 29 Mar 2019)
- CF10 Compliance Oversight (13 Aug 2018 to 29 Mar 2019)
- CF11 Money Laundering Reporting (13 Aug 2018 to 29 Mar 2019)
- Responsibility for MCD Intermediation (13 Aug 2018 to 29 Mar 2019)
- Responsible for Insurance Mediation (13 Aug 2018 to 30 Sep 2018)
- CF1 Director (23 Apr 2012 to 8 Dec 2019)
- CF30 Customer (23 Apr 2012 to 8 Dec 2019)
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- SMF3 Executive Director (9 Dec 2019 to 15 Oct 2024)
- Responsible for Insurance Distribution (1 Oct 2018 to 29 Mar 2019)
- CF10 Compliance Oversight (13 Aug 2018 to 29 Mar 2019)
- Responsibility for MCD Intermediation (13 Aug 2018 to 29 Mar 2019)
- Responsible for Insurance Mediation (13 Aug 2018 to 30 Sep 2018)
- CF11 Money Laundering Reporting (13 Aug 2018 to 29 Mar 2019)
- CF30 Customer (16 Dec 2013 to 8 Dec 2019)
- CF1 Director (23 Apr 2012 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 3 Apr 2012)
- CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.