Michael Pegg

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.

  • BROOM CONSULTANTS LIMITED

    FRN 424217

    • 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 5 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 5 Apr 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (13 Sep 2021 to 1 Mar 2024)
    • CF30 Customer (2 Sep 2021 to 1 Mar 2024)
  • Garry Johnson (no longer approved here)

    FRN 590667

    • (1)Employed By (2 Sep 2021 to 1 Mar 2024)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Manager of certification employee (1 Jul 2018 to 31 May 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Manager of certification employee (25 May 2016 to 1 Jul 2018)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2010)
    • CF21 Investment Adviser (20 Apr 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Jul 2003 to 20 Apr 2004)

Recent activity

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

No changes recorded yet.