Dominic Morgan Browning

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.

  • Browning Financial Planning Ltd

    FRN 607455

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (11 Nov 2013 to 8 Dec 2019)
    • CF1 Director (11 Nov 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Nov 2013 to 8 Dec 2019)
    • CF30 Customer (11 Nov 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Nov 2013 to 30 Sep 2018)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF21 Investment Adviser (1 Mar 2002 to 14 Jun 2004)
    • CF7 Sole Trader (AR) (13 Feb 2002 to 14 Jun 2004)
  • Browning Financial Planning (no longer approved here)

    FRN 221246

    • Employed By (13 Feb 2002 to 14 Jun 2004)

Recent activity

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

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