Lenaben Patel

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.

  • ISJ INDEPENDENT FINANCIAL PLANNING LIMITED

    FRN 770385

    • 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
    • [FCA CF] Functions requiring qualifications (since 29 Jun 2020)
    • [FCA CF] Client dealing (since 29 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (3 Apr 2017 to 8 Dec 2019)
    • CF1 Director (3 Apr 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (3 Apr 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Apr 2017 to 30 Sep 2018)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (13 May 2016 to 15 Jun 2017)
    • CF1 Director (AR) (13 May 2016 to 15 Jun 2017)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (13 May 2016 to 15 Jun 2017)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (28 Sep 2015 to 18 Mar 2016)
  • Paul Geddes Wealth Management Ltd (no longer approved here)

    FRN 470546

    • (5)Employed By (28 Sep 2015 to 18 Mar 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (20 Oct 2010 to 9 Jul 2012)

Recent activity

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

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