Nicholas Vaughan Morgan

Last updated
2 weeks ago
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Where they hold approval

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

  • ValidPath Limited

    FRN 197107

    • 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
    • Appointed representative dealing with clients for which they require qualification (since 11 Jan 2022)
    • CF30 Customer (since 31 Dec 2021)
    • CF1 Director (AR) (since 31 Dec 2021)
  • Castle Financial Planning Ltd (no longer approved here)

    FRN 480575

    • Employed By (28 Mar 2008 to 6 Jan 2022)
  • Financial Planning (Wales) Ltd (no longer approved here)

    FRN 190597

    • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
    • CF21 Investment Adviser (31 Jan 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (23 Jan 2003 to 31 Jan 2006)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 2 Jan 2003)

Recent activity

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

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