Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Citygate Financial Planning Limited
FRN 647956
- 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] Client dealing (since 9 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF1 Director (AR) (1 Mar 2021 to 30 Sep 2023)
- CF1 Director (2 Feb 2015 to 8 Dec 2019)
- CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (2 Feb 2015 to 8 Dec 2019)
- CF30 Customer (2 Feb 2015 to 8 Dec 2019)
- Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
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- CF1 Director (AR) (9 Apr 2013 to 5 Jan 2015)
- CF30 Customer (9 Apr 2013 to 5 Jan 2015)
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- CF30 Customer (7 Jul 2010 to 31 May 2013)
- CF1 Director (AR) (7 Jul 2010 to 31 May 2013)
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- Employed By (7 Jul 2010 to 31 Dec 2014)
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- Employed By (23 Oct 2008 to 2 Jun 2010)
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- CF30 Customer (23 Oct 2008 to 2 Jun 2010)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.