Dennis Guy Hall

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.

  • YELLOWTAIL FINANCIAL PLANNING LIMITED

    FRN 448410

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Apr 2006 to 8 Dec 2019)
    • CF1 Director (3 Apr 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Apr 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Apr 2006 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (3 Apr 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (3 Apr 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Apr 2006 to 30 Sep 2018)
  • CBW Financial Planning Limited (no longer approved here)

    FRN 182357

    • (42)CF21 Investment Adviser (21 May 2003 to 31 Mar 2006)
    • (41)CF24 Pension Transfer Specialist (24 Apr 2003 to 31 Mar 2006)

Recent activity

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

  1. controlled function added: (41)CF24 Pension Transfer Specialist at CBW Financial Planning Limited

  2. controlled function added: (42)CF21 Investment Adviser at CBW Financial Planning Limited