Michael John Broom

Last updated
3 weeks ago
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Where they hold approval

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

  • HB Dobbin Financial Planning Ltd

    FRN 189816

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 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 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (6 Mar 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (20 Sep 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (12 Dec 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (24 Feb 2003 to 12 Dec 2003)
  • Crowe Financial Planning UK Limited (no longer approved here)

    FRN 185323

    • CF22 Investment Adviser (Trainee) (20 Jun 2002 to 31 Oct 2002)

Recent activity

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

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