Ian James Trafford

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.

  • Trafford & Houghton Financial Planning Ltd

    FRN 481315

    • 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
    • Responsible for Insurance Distribution (since 24 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Sep 2025)
    • SMF16 Compliance Oversight (since 1 Sep 2025)
    • [FCA CF] Functions requiring qualifications (since 15 Oct 2020)
    • [FCA CF] Client dealing (since 15 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Jul 2008 to 8 Dec 2019)
    • CF1 Director (1 Jul 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Jul 2008 to 31 Mar 2009)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 3 Jul 2008)
    • CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
  • Elementum Ltd (no longer approved here)

    FRN 191392

    • Employed By (16 May 2002 to 3 Jul 2008)
  • Almond and Jenkinson Financial Planning Ltd (no longer approved here)

    FRN 189228

    • Employed By (11 Sep 2000 to 16 Aug 2002)

Recent activity

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

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