Peter James Wheeler

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.

  • LAMPIERS FINANCIAL PLANNING LIMITED

    FRN 606848

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jul 2023)
    • SMF16 Compliance Oversight (since 21 Jul 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 9 Nov 2017)
    • Responsible for Insurance Mediation (9 Nov 2017 to 30 Sep 2018)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • CF1 Director (2 Jan 2014 to 8 Dec 2019)
  • Lampiers Financial Planning Limited (no longer approved here)

    FRN 134985

    • (10)Employed By (12 Jul 2013 to 31 Dec 2013)

Recent activity

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

No changes recorded yet.