Laura Finnie

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.

  • Kelvin Financial Planning Limited (no longer approved here)

    FRN 568257

    • [FCA CF] Client dealing (30 Nov 2020 to 26 Aug 2021)
    • [FCA CF] Functions requiring qualifications (30 Nov 2020 to 26 Aug 2021)
    • Appointed representative dealing with clients for which they require qualification (30 Nov 2020 to 26 Aug 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Jan 2021)
    • CF10 Compliance Oversight (11 May 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (22 Feb 2012 to 10 Jun 2013)
    • CF1 Director (22 Feb 2012 to 10 Jun 2013)
    • CF30 Customer (22 Feb 2012 to 6 Dec 2021)
  • RA Financial Planning Limited (no longer approved here)

    FRN 602705

    • (7)Employed By (18 Mar 2014 to 6 Dec 2021)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (1 Nov 2011 to 30 Apr 2012)

Recent activity

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

No changes recorded yet.