Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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City Financial Planning (Exeter) Limited
FRN 460195
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 7. Giving personal recommendations on long-term care insurance contracts
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 19 May 2022)
- [FCA CF] Functions requiring qualifications (since 19 May 2022)
- SMF3 Executive Director (9 Dec 2019 to 15 Oct 2024)
- CF30 Customer (14 Sep 2009 to 24 Dec 2009)
- CF1 Director (1 Mar 2007 to 8 Dec 2019)
- CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
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CITY FINANCIAL PLANNING LIMITED
FRN 440633
- 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)
- 7. Giving personal recommendations on long-term care insurance contracts
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- [FCA CF] Functions requiring qualifications (since 12 Dec 2019)
- [FCA CF] Client dealing (since 12 Dec 2019)
- [FCA CF] Significant management (12 Dec 2019 to 1 Oct 2025)
- SMF3 Executive Director (9 Dec 2019 to 15 Oct 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
- CF1 Director (3 Jan 2006 to 8 Dec 2019)
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- Employed By (12 Jun 2012 to 8 Dec 2019)
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- (9)Employed By (22 Jun 2005 to 30 Dec 2005)
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- Employed By (20 Dec 1999 to 30 Dec 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.