Robert Matthew Caplan

Last updated
3 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Best Practice IFA Group Limited

    FRN 223112

    • 9A. Advising on P2P agreements
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 20 Jul 2018)
    • CF30 Customer (since 27 Jun 2012)
    • CF4 Partner (AR) (27 Jun 2012 to 8 Jan 2019)
  • First Wealth (London) Limited

    FRN 813444

    • (6)Employed By (since 20 Jul 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF4 Partner (AR) (8 Sep 2009 to 11 Sep 2012)
    • CF30 Customer (1 Nov 2007 to 11 Sep 2012)
    • CF21 Investment Adviser (30 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Oct 2004 to 30 Nov 2006)
  • First Wealth LLP (no longer approved here)

    FRN 506489

    • Employed By (8 Sep 2009 to 24 Dec 2018)
  • FIRST FINANCIAL INTERMEDIARIES LIMITED (no longer approved here)

    FRN 301328

    • CF1 Director (25 Apr 2007 to 1 Nov 2018)
  • First Financial Consultants (no longer approved here)

    FRN 184024

    • Employed By (8 Oct 2004 to 11 Sep 2012)

Recent activity

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

No changes recorded yet.