Paul Darren Thorn

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.

  • PDT Financial Services Ltd

    FRN 838460

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 15 Jul 2019)
    • Responsible for Insurance Distribution (since 15 Jul 2019)
    • CF11 Money Laundering Reporting (15 Jul 2019 to 8 Dec 2019)
    • CF1 Director (15 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF30 Customer (4 Apr 2017 to 29 Mar 2018)
  • Bluefish Financial Services Ltd (no longer approved here)

    FRN 565834

    • Employed By (5 Feb 2016 to 29 Mar 2018)
  • Thomas Penn Partnership Ltd (no longer approved here)

    FRN 475009

    • CF30 Customer (1 Mar 2012 to 14 Jan 2016)
  • Castlegate Investments (2001) (no longer approved here)

    FRN 176550

    • Employed By (7 Feb 2003 to 28 May 2004)

Recent activity

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

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