John Anthony Broom

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.

  • BROOM CONSULTANTS LIMITED

    FRN 424217

    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Apr 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Aug 2005 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Aug 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Aug 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Aug 2005 to 8 Dec 2019)
    • CF1 Director (1 Aug 2005 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Aug 2005 to 30 Sep 2018)
  • Pension Income Planning Limited

    FRN 713438

    • (1)11. Pension transfer specialist
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (5)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (6)SMF3 Executive Director (since 9 Dec 2019)
    • (7)[FCA CF] Client dealing (since 9 Dec 2019)
    • (3)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (33)CF10 Compliance Oversight (8 Mar 2016 to 8 Dec 2019)
    • (34)CF1 Director (8 Mar 2016 to 8 Dec 2019)
    • (30)Responsible for Insurance Mediation (8 Mar 2016 to 30 Sep 2018)
    • (31)CF30 Customer (8 Mar 2016 to 8 Dec 2019)
    • (32)CF11 Money Laundering Reporting (8 Mar 2016 to 8 Dec 2019)
  • Broom Consultants Ltd (3089) (no longer approved here)

    FRN 154593

    • Employed By (1 Dec 2001 to 29 Jul 2005)

Recent activity

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

  1. controlled function removed: SMF3 Executive Director at Pension Income Planning Limited

  2. controlled function removed: [FCA CF] Client dealing at Pension Income Planning Limited

  3. controlled function removed: [FCA CF] Functions requiring qualifications at Pension Income Planning Limited

  4. controlled function removed: 11. Pension transfer specialist at Pension Income Planning Limited

  5. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Pension Income Planning Limited

  6. controlled function removed: Responsible for Insurance Distribution at Pension Income Planning Limited

  7. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Pension Income Planning Limited

  8. controlled function removed: SMF16 Compliance Oversight at Pension Income Planning Limited

  9. controlled function added: (30)Responsible for Insurance Mediation at Pension Income Planning Limited

  10. controlled function added: (31)CF30 Customer at Pension Income Planning Limited

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