Joseph Peter Harker

Watch for changes

Where they hold approval

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

2 Plan Wealth Management Limited (no longer approved here)
FRN 461598
- CF30 Customer (3 Nov 2023 to 12 Mar 2024)
- [FCA CF] Functions requiring qualifications (19 Apr 2023 to 12 Mar 2024)
- [FCA CF] Client dealing (19 Apr 2023 to 12 Mar 2024)
Scottish Widows Schroder Personal Wealth Limited (no longer approved here)
FRN 830170
- [FCA CF] Functions requiring qualifications (16 Nov 2021 to 25 Feb 2022)
- [FCA CF] Client dealing (16 Nov 2021 to 25 Feb 2022)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (19 Apr 2021 to 14 Jun 2021)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (562)Employed By (19 Apr 2021 to 14 Jun 2021)
W H Ireland Limited (no longer approved here)
FRN 140773
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2020)
- CF30 Customer (11 Jul 2018 to 8 Dec 2019)

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.