Mohit Kumar Saini

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • PWS Financial Consulting Limited

    FRN 124984

    • 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)
    • CF1 Director (AR) (since 10 Feb 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (1 Jun 2009 to 29 Jan 2013)
    • CF1 Director (5 Dec 2008 to 8 Dec 2019)
    • CF21 Investment Adviser (28 Jul 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Jul 2003 to 28 Jul 2003)
  • HM Wealth & Investment Ltd

    FRN 931447

    • (2)Employed By (since 10 Feb 2022)
  • DSG Wealth Management Ltd

    FRN 801455

    • (2)Employed By (since 15 Feb 2018)
  • Independent ATE Ltd (no longer approved here)

    FRN 522800

    • Employed By (28 Apr 2010 to 1 Dec 2020)
  • ERC Financial Planning Ltd (no longer approved here)

    FRN 501122

    • Employed By (1 Jun 2009 to 21 Feb 2012)
  • 3HR Financial Consulting Ltd (no longer approved here)

    FRN 491130

    • Employed By (4 Dec 2008 to 21 Feb 2012)
  • Legal & Financial Solutions Limited (no longer approved here)

    FRN 226305

    • Employed By (22 Nov 2005 to 15 Apr 2010)
  • Kinsman Independent Financial Advisers Ltd (no longer approved here)

    FRN 230590

    • Employed By (14 Jan 2004 to 30 Jan 2013)

Recent activity

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

  1. controlled function removed: Employed By at HM Wealth & Investment Ltd

  2. controlled function added: (2)Employed By at HM Wealth & Investment Ltd

  3. controlled function removed: Employed By at DSG Wealth Management Ltd

  4. controlled function added: (2)Employed By at DSG Wealth Management Ltd