Peter John Watts

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.

  • P J Watts Independent Financial Adviser Ltd

    FRN 911629

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 2 Jun 2020)
    • SMF16 Compliance Oversight (since 2 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jun 2020)
    • SMF3 Executive Director (since 2 Jun 2020)
    • [FCA CF] Client dealing (since 2 Jun 2020)
    • Responsible for Insurance Distribution (since 2 Jun 2020)
  • Tom French & Associates Limited (no longer approved here)

    FRN 185513

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 May 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2020)
    • CF30 Customer (19 May 2015 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (7 Jan 2008 to 5 Oct 2009)

Recent activity

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

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