Jonathan Plant

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.

  • WARWICKSHIRE INDEPENDENT FINANCIAL SERVICES LIMITED

    FRN 467173

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (3 May 2016 to 6 Jan 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
    • CF1 Director (2 Jul 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jul 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jul 2007 to 30 Sep 2018)
  • Hurst Independent Financial Services Ltd (2960) (no longer approved here)

    FRN 192578

    • (9)Employed By (27 Mar 2007 to 8 Dec 2019)
  • Warwickshire I.F.S. Ltd (no longer approved here)

    FRN 206510

    • (4)Employed By (7 Oct 2004 to 5 Apr 2005)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 29 Oct 2004)

Recent activity

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

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