John Anthony Broom

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • HB Dobbin Financial Planning Ltd (no longer approved here)

    FRN 189816

    • Responsible for Insurance Distribution (1 Oct 2018 to 6 Nov 2019)
    • Responsible for Insurance Mediation (7 Nov 2012 to 30 Sep 2018)
    • CF10 Compliance Oversight (3 Nov 2009 to 6 Nov 2019)
    • CF28 Systems and controls (1 Nov 2007 to 14 Nov 2012)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 6 Nov 2019)
    • CF1 Director (1 Dec 2001 to 6 Nov 2019)

Recent activity

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

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