Finin Peter Houlihan

Last updated
5 days ago
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Where they hold approval

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

  • AAF Financial Ltd

    FRN 977929

    • 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 22 Jun 2023)
    • [FCA CF] Client dealing (since 22 Jun 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jun 2023)
    • Responsible for Insurance Distribution (since 1 Jun 2023)
    • SMF3 Executive Director (since 1 Jun 2023)
    • SMF16 Compliance Oversight (since 1 Jun 2023)
  • The Arlo Group UK Limited (no longer approved here)

    FRN 208467

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2023)
    • CF1 Director (AR) (16 Apr 2019 to 7 Dec 2022)
    • CF30 Customer (12 Nov 2018 to 14 Nov 2018)
  • ARLO International Limited (no longer approved here)

    FRN 821327

    • Employed By (16 Apr 2019 to 7 Dec 2022)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (24 May 2011 to 1 Mar 2014)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (3 Mar 2010 to 25 May 2011)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 2 Apr 2010)
    • CF22 Investment Adviser (Trainee) (9 Oct 2007 to 31 Oct 2007)

Recent activity

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

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