Nigel Peter Thompson

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.

  • Thompson Cavendish Ltd

    FRN 814454

    • 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] Functions requiring qualifications (since 9 Mar 2020)
    • [FCA CF] Client dealing (since 9 Mar 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 7 Feb 2019)
    • CF11 Money Laundering Reporting (7 Feb 2019 to 8 Dec 2019)
    • CF1 Director (7 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (7 Feb 2019 to 8 Dec 2019)
  • Millstream Financial Services Ltd (no longer approved here)

    FRN 501864

    • (3)Employed By (6 Aug 2009 to 1 Feb 2010)
  • Berkeley Consultants UK Ltd (no longer approved here)

    FRN 192582

    • Employed By (2 Jun 2006 to 14 Dec 2006)
  • Thompson Cavendish (1768) (no longer approved here)

    FRN 176471

    • Employed By (1 Oct 1998 to 8 Jan 2004)

Recent activity

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

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