Daniel Allen

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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 11 May 2023)
    • [FCA CF] Client dealing (since 11 May 2023)
    • CF30 Customer (9 Aug 2011 to 6 Jun 2012)
  • Financial Synergy Ltd

    FRN 815222

    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 11 Jan 2019)
    • Responsible for Insurance Distribution (since 11 Jan 2019)
    • CF1 Director (11 Jan 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jan 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jan 2019 to 8 Dec 2019)
    • CF30 Customer (11 Jan 2019 to 8 Dec 2019)
  • Rowena Chowdrey (no longer approved here)

    FRN 539452

    • CF30 Customer (23 Jan 2017 to 7 Jan 2019)
  • W1 Financial Services Limited (no longer approved here)

    FRN 526015

    • CF30 Customer (3 Apr 2012 to 20 Jul 2012)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (30 Sep 2009 to 10 Feb 2012)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 25 Jan 2010)
    • CF21 Investment Adviser (24 May 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Jan 2005 to 24 May 2005)

Recent activity

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

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