Douglas David McFarlane Brodie

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.

  • Master Adviser CFP Limited

    FRN 458919

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 1 Mar 2025)
    • CF1 Director (AR) (since 13 Oct 2020)
    • CF30 Customer (since 13 Oct 2020)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 22 Mar 2016)
    • CF10 Compliance Oversight (18 Jul 2008 to 4 Jan 2010)
    • CF11 Money Laundering Reporting (18 Jul 2008 to 4 Jan 2010)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (5 Jul 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2007 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF1 Director (2 Jan 2007 to 8 Dec 2019)
  • Chancery Lane Income Planners Ltd

    FRN 935249

    • Employed By (since 13 Oct 2020)
  • Master Adviser Ltd (U445) (no longer approved here)

    FRN 171704

    • (28)Employed By (1 Oct 1998 to 1 Jun 2007)

Recent activity

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

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