John Smith

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.

  • FORGERON FINANCIAL PLANNING LIMITED

    FRN 512100

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 19 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 19 Jan 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF11 Money Laundering Reporting (8 Feb 2010 to 8 Dec 2019)
    • CF1 Director (8 Feb 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Feb 2010 to 8 Dec 2019)
    • CF30 Customer (8 Feb 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Feb 2010 to 30 Sep 2018)
  • Jonathan Blake Money Management Limited (no longer approved here)

    FRN 408054

    • CF30 Customer (1 Nov 2007 to 23 Oct 2009)
    • CF21 Investment Adviser (23 Dec 2004 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 4 Mar 2003)

Recent activity

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

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