Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ASCOT LLOYD FINANCIAL PLANNING LIMITED
FRN 144519
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Functions requiring qualifications (since 2 Nov 2023)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 25 May 2023)
- CF30 Customer (30 Nov 2019 to 8 Dec 2019)
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- CF30 Customer (27 Aug 2010 to 29 Nov 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.