John Smith

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.

  • Moffatt Financial Planning Limited

    FRN 198060

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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] Significant management (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 23 Nov 2017)
    • CF10 Compliance Oversight (23 Nov 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (23 Nov 2017 to 30 Sep 2018)
    • CF1 Director (21 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (17 May 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (17 May 2004 to 31 Oct 2007)
  • BRB Wealth Management Limited (no longer approved here)

    FRN 116358

    • CF21 Investment Adviser (1 Dec 2001 to 15 Apr 2004)

Recent activity

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

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