Peter Lawrence Broughton

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.

  • SALTUS WEALTH PARTNERSHIP LIMITED

    FRN 449607

    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
    • [FCA CF] Client dealing (since 1 Jul 2025)
  • Radiant Financial Planning Limited (no longer approved here)

    FRN 192396

    • [FCA CF] Functions requiring qualifications (11 Aug 2022 to 18 Jun 2024)
    • [FCA CF] Client dealing (11 Aug 2022 to 18 Jun 2024)
  • The Pension Planner Ltd (no longer approved here)

    FRN 669563

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Aug 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Aug 2022)
    • CF30 Customer (15 Jul 2019 to 8 Dec 2019)
  • Westerby Investment Management Limited (no longer approved here)

    FRN 125286

    • CF30 Customer (1 Apr 2019 to 5 Jul 2019)
  • Oracle Property Finance Ltd (no longer approved here)

    FRN 554423

    • Employed By (18 Aug 2011 to 23 Aug 2016)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (16 Nov 2010 to 23 Aug 2016)
  • Chapman Associates Limited (110) (no longer approved here)

    FRN 177830

    • Employed By (16 Nov 2010 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 13 Dec 2002)

Recent activity

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

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