Howard Kingsley Goodenough

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.

  • LINCOLNSHIRE INDEPENDENT FINANCIAL ADVISERS LIMITED

    FRN 472637

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • 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)
    • Responsibility for MCD Intermediation (since 29 Apr 2016)
    • CF10 Compliance Oversight (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Nov 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (1 Nov 2007 to 30 Sep 2018)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF22 Investment Adviser (Trainee) (8 Oct 2003 to 24 Oct 2003)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (8 Oct 2003 to 24 Oct 2003)
  • M54 Finance Ltd (no longer approved here)

    FRN 225746

    • Employed By (8 Oct 2003 to 24 Oct 2003)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF22 Investment Adviser (Trainee) (27 Nov 2002 to 22 Aug 2003)
  • Phoenix Life Limited (no longer approved here)

    FRN 110418

    • CF22 Investment Adviser (Trainee) (12 Jan 2002 to 18 Oct 2002)
  • Columbia Threadneedle Fund Management Limited (no longer approved here)

    FRN 121940

    • CF22 Investment Adviser (Trainee) (9 Jan 2002 to 1 Jul 2002)

Recent activity

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

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