John William Penn

Watch for changes

Where they hold approval

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

BB Financial Solutions Ltd
FRN 497128
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 29 Mar 2021)
Legal and General Assurance Society Limited (no longer approved here)
FRN 117659
- CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2002)
- CF7 Sole Trader (AR) (1 Dec 2001 to 3 Apr 2006)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2002)
- CF7 Sole Trader (AR) (1 Dec 2001 to 3 Apr 2006)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.