Owen Roger Thomas

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.

  • Yorkshire Independent Financial Advisers Limited

    FRN 474338

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 7 Jun 2024)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (since 21 Mar 2016)
    • CF30 Customer (since 14 Mar 2016)
    • CF1 Director (23 Aug 2016 to 8 Dec 2019)
  • Peter Howard Financial Services Ltd

    FRN 516003

    • (3)Employed By (since 13 Jan 2017)
  • Ware & Kay Financial Services Ltd

    FRN 589926

    • Employed By (since 21 Mar 2016)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (11 Jun 2014 to 23 Apr 2015)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (13 Aug 2013 to 18 Oct 2013)

Recent activity

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

No changes recorded yet.