Justin Barnes Arnold Tuck

Last updated
1 week ago
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Where they hold approval

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

  • Utopia Wealth Planning Ltd

    FRN 816718

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 20 Sep 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 24 Dec 2018)
    • Responsible for Insurance Distribution (since 24 Dec 2018)
    • CF1 Director (24 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (24 Dec 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (24 Dec 2018 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (2 Dec 2016 to 29 Apr 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 10 Dec 2016)
    • CF21 Investment Adviser (4 Apr 2007 to 31 Oct 2007)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (601)Employed By (4 Apr 2007 to 10 Dec 2016)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF21 Investment Adviser (9 Jan 2004 to 26 May 2007)
    • CF22 Investment Adviser (Trainee) (9 Jun 2003 to 9 Jan 2004)
  • Tailormade Financial Planning Ltd (no longer approved here)

    FRN 195009

    • (16)Employed By (29 Jan 2002 to 5 May 2003)

Recent activity

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

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