Lucy Ann Clark

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Barnett Waddingham LLP
FRN 494494
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 21 May 2020)
- [FCA CF] Functions requiring qualifications (since 21 May 2020)
Forvis Mazars Financial Planning Limited (no longer approved here)
FRN 182644
- CF30 Customer (21 Apr 2017 to 2 Jan 2018)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.