Mark John Thomson

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.

  • ASPIRE WEALTH ( SCOTLAND ) LIMITED

    FRN 756596

    • 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] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2017 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2017 to 8 Dec 2019)
    • CF1 Director (3 Jan 2017 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (17 Apr 2003 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Aug 2002 to 17 Apr 2003)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (17 Apr 2003 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Aug 2002 to 17 Apr 2003)
  • Liverpool Victoria Financial Services Limited (no longer approved here)

    FRN 110035

    • CF21 Investment Adviser (1 Dec 2001 to 4 Oct 2002)
  • Liverpool Victoria Life Company Limited (no longer approved here)

    FRN 110423

    • CF21 Investment Adviser (1 Dec 2001 to 4 Oct 2002)

Recent activity

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

No changes recorded yet.