Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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4 Financial Planning Ltd
FRN 1036610
- 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 4 Feb 2026)
- Responsible for Insurance Distribution (since 4 Feb 2026)
- SMF16 Compliance Oversight (since 4 Feb 2026)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Feb 2026)
- SMF3 Executive Director (since 4 Feb 2026)
- [FCA CF] Client dealing (since 4 Feb 2026)
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- [FCA CF] Client dealing (9 Dec 2019 to 3 Feb 2026)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 3 Feb 2026)
- CF30 Customer (20 Nov 2019 to 2 Feb 2026)
- CF1 Director (AR) (20 Nov 2019 to 2 Feb 2026)
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- Employed By (20 Nov 2019 to 2 Feb 2026)
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- CF1 Director (5 Sep 2019 to 2 Oct 2019)
- CF30 Customer (5 Sep 2019 to 2 Oct 2019)
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- CF30 Customer (1 May 2012 to 13 Jun 2014)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.