Dominic Close

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • KW Wealth Planning Limited

    FRN 114694

    • 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 26 Jul 2021)
    • [FCA CF] Client dealing (since 26 Jul 2021)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (27 Nov 2008 to 7 Sep 2011)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 17 Nov 2008)
    • CF21 Investment Adviser (20 Jun 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 20 Jun 2002)

Recent activity

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

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