Hollee Louise Vivian

Last updated
3 weeks ago
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Where they hold approval

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

  • ASCOT LLOYD FINANCIAL PLANNING LIMITED

    FRN 144519

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 12 May 2023)
    • [FCA CF] Client dealing (since 12 May 2023)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • [FCA CF] Manager of certification employee (20 May 2022 to 7 Feb 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 7 Feb 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Feb 2023)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • [FCA CF] Manager of certification employee (20 May 2022 to 7 Feb 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Feb 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 7 Feb 2023)
    • CF30 Customer (17 Nov 2016 to 8 Dec 2019)

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

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