Where they hold approval

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

    • 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)
    • 9A. Advising on P2P agreements
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (18 Apr 2013 to 30 Sep 2018)
    • CF10 Compliance Oversight (18 Apr 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Jul 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • SODERBERG & PARTNERS FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 671601

    • SMF16 Compliance Oversight (15 Sep 2023 to 19 Dec 2025)
    • Responsible for Insurance Distribution (15 Sep 2023 to 19 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (15 Sep 2023 to 19 Dec 2025)
    • SMF3 Executive Director (15 Sep 2023 to 19 Dec 2025)
    • [FCA CF] Functions requiring qualifications (22 Aug 2023 to 5 Jan 2026)
    • [FCA CF] Client dealing (22 Aug 2023 to 5 Jan 2026)

Recent activity

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

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