Linda Griffiths

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.

  • PHOENIX FINANCIAL PLANNING LIMITED

    FRN 231135

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • Responsibility for MCD Intermediation (since 12 Apr 2022)
    • SMF16 Compliance Oversight (since 12 Apr 2022)
    • Responsible for Insurance Distribution (since 12 Apr 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jan 2018 to 8 Dec 2019)
    • CF1 Director (15 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (1 Aug 2013 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (30 Apr 2024 to 26 Jun 2024)
    • [FCA CF] Client dealing (30 Apr 2024 to 26 Jun 2024)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 28 Oct 2011)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (31 Mar 2009 to 16 Sep 2010)
  • National Friendly Financial Solutions Limited (no longer approved here)

    FRN 452784

    • CF30 Customer (1 Nov 2007 to 19 Dec 2008)
    • CF21 Investment Adviser (13 Jul 2006 to 31 Oct 2007)
  • National Deposit Friendly Society Limited (no longer approved here)

    FRN 110008

    • CF21 Investment Adviser (10 Sep 2003 to 1 Jan 2007)
    • CF22 Investment Adviser (Trainee) (10 Jul 2003 to 10 Sep 2003)

Recent activity

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

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