Peter Moseley

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.

  • Pennymatters Limited

    FRN 530681

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (10 Apr 2014 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (21 Nov 2003 to 30 Jun 2006)
    • CF22 Investment Adviser (Trainee) (14 May 2003 to 21 Nov 2003)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF22 Investment Adviser (Trainee) (14 May 2003 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF22 Investment Adviser (Trainee) (14 May 2003 to 3 Jun 2003)

Recent activity

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

No changes recorded yet.