Lindsay Gerrard Hopkins

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.

  • Lindsay Hopkins trading as Trafalgar Square Financial Planning Consultants

    FRN 305726

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 14 Sep 2012)
    • CF11 Money Laundering Reporting (30 Mar 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Mar 2007 to 30 Sep 2018)
    • CF10 Compliance Oversight (30 Mar 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (30 Mar 2007 to 31 Mar 2009)
    • CF21 Investment Adviser (30 Mar 2007 to 31 Oct 2007)
  • TRAFALGAR SQUARE SOLUTIONS LIMITED (no longer approved here)

    FRN 480296

    • Responsible for Insurance Mediation (2 Jul 2008 to 1 Nov 2008)
    • CF1 Director (2 Jul 2008 to 1 Nov 2008)
    • CF8 Apportionment and Oversight (2 Jul 2008 to 1 Nov 2008)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (1 Nov 2005 to 31 Dec 2006)
  • Lighthouse (Vintry) 11 (no longer approved here)

    FRN 400054

    • (7)Employed By (14 Jul 2004 to 31 Dec 2006)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2002)

Recent activity

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

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