Lisa Footes

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.

  • Footes Financial Planning UK Limited

    FRN 692441

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (8 Oct 2015 to 8 Dec 2019)
    • CF1 Director (8 Oct 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Oct 2015 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Oct 2015 to 30 Sep 2018)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (15 Apr 2011 to 7 Oct 2015)
    • CF1 Director (AR) (15 Apr 2011 to 7 Oct 2015)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF30 Customer (1 Nov 2007 to 2 Feb 2008)
    • CF22 Investment Adviser (Trainee) (7 Aug 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (13 Oct 2005 to 19 Apr 2007)
    • CF22 Investment Adviser (Trainee) (25 Nov 2004 to 13 Oct 2005)

Recent activity

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

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