Kevin William Pratt

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.

  • Step-By-Step Financial Planners Limited

    FRN 524966

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 May 2024)
    • SMF3 Executive Director (9 Dec 2019 to 23 May 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 23 May 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 23 May 2024)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 23 May 2024)
    • CF11 Money Laundering Reporting (20 Oct 2010 to 8 Dec 2019)
    • CF1 Director (20 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (20 Oct 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 Oct 2010 to 30 Sep 2018)
  • BRIAN MOLE INDEPENDENT FINANCIAL ADVISERS LTD. (no longer approved here)

    FRN 211978

    • CF30 Customer (1 Nov 2007 to 1 Oct 2010)
    • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Jul 2004 to 18 Nov 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (26 Oct 2002 to 15 Jul 2004)
    • CF22 Investment Adviser (Trainee) (23 Jan 2002 to 26 Oct 2002)

Recent activity

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

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