Iain Ronald McNicol

Last updated
6 days ago
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Where they hold approval

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

  • Seed Financial Planning Limited

    FRN 916873

    • 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Sep 2020)
    • [FCA CF] Client dealing (since 7 Sep 2020)
    • SMF3 Executive Director (since 3 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Sep 2020)
    • SMF16 Compliance Oversight (since 3 Sep 2020)
  • REED FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 590071

    • [FCA CF] Client dealing (19 Nov 2020 to 31 Jul 2023)
    • [FCA CF] Functions requiring qualifications (19 Nov 2020 to 31 Jul 2023)
    • Appointed representative dealing with clients for which they require qualification (19 Nov 2020 to 31 Jul 2023)
    • CF30 Customer (1 Apr 2013 to 31 Jul 2023)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF30 Customer (10 Sep 2012 to 1 Oct 2012)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (4 Mar 2010 to 29 Dec 2011)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (4 Jun 2009 to 3 Mar 2010)

Recent activity

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

No changes recorded yet.