Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Plutus Wealth Management LLP
FRN 541499
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 9A. Advising on P2P agreements
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- Responsible for Insurance Distribution (since 21 Jul 2023)
- SMF16 Compliance Oversight (since 21 Jul 2023)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF11 Money Laundering Reporting (17 Dec 2014 to 8 Dec 2019)
- CF30 Customer (27 Jun 2013 to 8 Dec 2019)
- CF4 Partner (3 Jan 2012 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.