Dale Adam Thomas

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (8 Apr 2019 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF1 Director (AR) (1 Jul 2015 to 9 Jan 2018)
    • CF30 Customer (26 Jan 2010 to 14 Apr 2019)
  • DAT Financial Services Ltd (no longer approved here)

    FRN 217606

    • Employed By (12 Feb 2010 to 16 Feb 2011)
  • JULIAN HARRIS ADVISER NETWORK LIMITED (no longer approved here)

    FRN 304155

    • CF1 Director (AR) (12 Feb 2010 to 16 Feb 2011)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF1 Director (AR) (30 Sep 2005 to 3 Jul 2007)
    • CF21 Investment Adviser (15 Jul 2003 to 3 Jul 2007)
    • CF7 Sole Trader (AR) (19 Aug 2002 to 30 Sep 2005)
    • CF22 Investment Adviser (Trainee) (19 Aug 2002 to 15 Jul 2003)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (15 Jul 2003 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (19 Aug 2002 to 15 Jul 2003)
    • CF7 Sole Trader (AR) (19 Aug 2002 to 31 Oct 2004)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Jul 2002)

Recent activity

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

No changes recorded yet.