Nicholas Andrew Pratt

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.

  • The Pension Planner Ltd

    FRN 669563

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (15 Aug 2016 to 4 Feb 2021)
    • CF1 Director (1 Jun 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jun 2015 to 8 Dec 2019)
    • CF30 Customer (1 Jun 2015 to 8 Dec 2019)
  • Obsidian Financial Limited (no longer approved here)

    FRN 509756

    • CF30 Customer (4 Aug 2010 to 30 Jun 2015)
  • HCF PARTNERSHIP LIMITED (no longer approved here)

    FRN 500654

    • CF30 Customer (21 Oct 2009 to 4 Aug 2010)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 28 Feb 2010)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (31 Dec 2003 to 24 Sep 2004)
    • CF22 Investment Adviser (Trainee) (17 Feb 2003 to 31 Dec 2003)

Recent activity

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

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