Oliver Ronald Pennicott

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.

  • Investment & Financial Solutions Partnership LLP

    FRN 542186

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF27 Partner (since 2 Nov 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 27 Oct 2021)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 27 Oct 2021)
    • CF30 Customer (23 Oct 2019 to 8 Dec 2019)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (9 Dec 2019 to 12 Dec 2019)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Dec 2019)
    • CF30 Customer (16 Nov 2017 to 8 Dec 2019)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (27 Mar 2015 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.