Ian David Hartley

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.

  • Independent Investment Associates Limited

    FRN 212923

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 28 May 2025)
    • SMF3 Executive Director (since 7 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (26 Jan 2019 to 8 Dec 2019)
  • ARMSTRONG WATSON FINANCIAL PLANNING LTD (no longer approved here)

    FRN 542122

    • CF30 Customer (5 Dec 2014 to 31 Dec 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (5 Dec 2013 to 31 Oct 2014)
  • Innova Financial Solutions Ltd (no longer approved here)

    FRN 595136

    • Employed By (5 Dec 2013 to 31 Oct 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (2 Feb 2010 to 11 Jun 2013)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (24 Jan 2008 to 9 Jan 2010)

Recent activity

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

No changes recorded yet.