James Aaron Broad

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 26 Aug 2020)
    • CF1 Director (AR) (since 12 May 2020)
    • CF30 Customer (since 12 May 2020)
    • [FCA CF] Client dealing (26 Aug 2020 to 2 Jan 2023)
    • CF30 Customer (15 Jul 2014 to 8 Dec 2019)
  • Broad & Co.Wealth Management Ltd

    FRN 925336

    • Employed By (since 12 May 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (29 Apr 2013 to 24 May 2014)
  • Specialist Trust Solutions LLP (no longer approved here)

    FRN 401684

    • (29)Employed By (29 Apr 2013 to 24 May 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (23 Nov 2009 to 13 Apr 2013)

Recent activity

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

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