Dawn Elizabeth Morgan

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 11 Apr 2023)
    • [FCA CF] Client dealing (since 11 Apr 2023)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • [FCA CF] Client dealing (27 Jan 2022 to 6 Apr 2023)
    • [FCA CF] Functions requiring qualifications (27 Jan 2022 to 6 Apr 2023)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • CF30 Customer (27 Jan 2021 to 7 Mar 2022)
    • [FCA CF] Client dealing (27 Jan 2021 to 7 Mar 2022)
    • Appointed representative dealing with clients for which they require qualification (27 Jan 2021 to 7 Mar 2022)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (3 Nov 2014 to 30 Nov 2015)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • CF30 Customer (1 Nov 2007 to 31 Oct 2014)
    • CF21 Investment Adviser (18 Jul 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Jul 2002)

Recent activity

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

No changes recorded yet.