Clive Thompson

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.

  • SERENITY FINANCIAL PLANNING LTD

    FRN 452299

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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)
    • SMF16 Compliance Oversight (since 5 Aug 2021)
    • SMF3 Executive Director (since 5 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2021)
    • Responsible for Insurance Distribution (since 5 Aug 2021)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF29 Significant management (4 Aug 2016 to 8 Dec 2019)
    • CF1 Director (15 Oct 2015 to 4 Aug 2016)
    • CF1 Director (AR) (29 Apr 2009 to 6 Dec 2011)
    • CF30 Customer (29 Apr 2009 to 8 Dec 2019)
  • City Financial Services Ltd (no longer approved here)

    FRN 447184

    • Employed By (29 Apr 2009 to 8 Dec 2019)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (1 Nov 2007 to 9 Apr 2009)
    • CF1 Director (AR) (23 Mar 2007 to 9 Apr 2009)
    • CF21 Investment Adviser (30 Jan 2006 to 31 Oct 2007)
    • CF7 Sole Trader (AR) (30 Jan 2006 to 31 Jan 2007)

Recent activity

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

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