Lisa Marie McCaw

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.

  • KW Wealth Planning Limited

    FRN 114694

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 11 May 2023)
    • [FCA CF] Functions requiring qualifications (since 11 May 2023)
  • SOVEREIGN MONEY MATTERS LIMITED (no longer approved here)

    FRN 599883

    • [FCA CF] Functions requiring qualifications (20 Aug 2020 to 1 Oct 2020)
  • Independent Wealth Management Consultants Ltd (no longer approved here)

    FRN 138903

    • CF30 Customer (28 Jun 2016 to 16 Nov 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (8 Jan 2014 to 6 Mar 2016)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 4 Mar 2011)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (23 Jan 2009 to 16 Sep 2010)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (14 Feb 2008 to 15 Feb 2009)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 31 Jan 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.