Edward John Hart

Last updated
2 days ago
Watch for changes

Where they hold approval

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

  • Edward Hart Financial Services Limited

    FRN 723966

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 11 May 2020)
    • [FCA CF] Client dealing (since 11 May 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Jul 2016)
    • CF10 Compliance Oversight (11 May 2016 to 8 Dec 2019)
    • CF1 Director (11 May 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 May 2016 to 8 Dec 2019)
    • CF30 Customer (11 May 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 May 2016 to 30 Sep 2018)
  • PIVOTAL FINANCIAL LIMITED (no longer approved here)

    FRN 665649

    • CF1 Director (AR) (1 Dec 2015 to 23 Aug 2016)
  • WREN STERLING FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 665653

    • CF30 Customer (16 Mar 2015 to 30 Jun 2016)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (28 Sep 2005 to 30 Nov 2005)
    • CF22 Investment Adviser (Trainee) (14 Oct 2004 to 28 Sep 2005)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF22 Investment Adviser (Trainee) (14 Oct 2004 to 31 Oct 2004)
  • Tony Walker Financial Planning Services (no longer approved here)

    FRN 401070

    • Employed By (14 Oct 2004 to 30 Nov 2005)
  • Complete-Move Independent Financial Advisers (no longer approved here)

    FRN 148810

    • Employed By (23 Aug 2000 to 4 Nov 2003)

Recent activity

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

No changes recorded yet.