Liam David George Wood

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • [FCA CF] Functions requiring qualifications (since 28 Oct 2022)
    • [FCA CF] Client dealing (since 28 Oct 2022)
  • Oculus Wealth Management Limited (no longer approved here)

    FRN 605985

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Oct 2022)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Oct 2022)
    • CF30 Customer (20 Mar 2017 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (29 May 2013 to 25 Jul 2016)

Recent activity

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

No changes recorded yet.