Nicholas Keith Plumb

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Where they hold approval

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

Bright Financial Planning Limited (no longer approved here)
FRN 459572
- CF30 Customer (1 Nov 2007 to 4 Jul 2011)
- CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
Bright Mortgage Solutions Ltd (no longer approved here)
FRN 429044
- Employed By (27 Apr 2006 to 29 Dec 2006)
Gosforth Financial Management (no longer approved here)
FRN 200232
- (6)Employed By (16 Jun 2003 to 8 Dec 2019)
Plumb Financial Services (3266) (no longer approved here)
FRN 211172
- (1)Employed By (26 Apr 2002 to 16 Jun 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.