Peter Thomas Rees

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.

  • STERLING ASSET MANAGEMENT LTD

    FRN 627725

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • CF30 Customer (20 Oct 2014 to 8 Dec 2019)
  • Clifton Wealth Partnership Ltd (no longer approved here)

    FRN 541273

    • CF30 Customer (13 Jan 2012 to 12 Aug 2014)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (20 Jan 2010 to 13 Aug 2010)
  • West Bromwich Financial Planning Ltd (no longer approved here)

    FRN 452555

    • Employed By (20 Jan 2010 to 13 Aug 2010)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF21 Investment Adviser (8 Feb 2002 to 31 Oct 2007)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

No changes recorded yet.