Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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The On-Line Partnership Limited
FRN 192638
- 9A. Advising on P2P agreements
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 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)
- Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 1 Nov 2007)
- CF1 Director (AR) (since 4 Mar 2005)
- CF21 Investment Adviser (4 Mar 2005 to 31 Oct 2007)
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Theora Financial Planning Limited
FRN 428470
- (1)Employed By (since 4 Mar 2005)
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- Employed By (22 Jun 2006 to 19 Apr 2010)
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- Responsible for Insurance Mediation (14 Jan 2005 to 1 Feb 2005)
- CF10 Compliance Oversight (25 Mar 2002 to 1 Feb 2005)
- CF21 Investment Adviser (25 Mar 2002 to 1 Feb 2005)
- CF1 Director (25 Mar 2002 to 1 Feb 2005)
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- (14)Employed By (1 Dec 2001 to 21 May 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.