Robert Paul Train

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.

  • INFORMED OPTIONS FINANCIAL PLANNING LTD

    FRN 595509

    • 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)
    • 9A. Advising on P2P agreements
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (2 Apr 2013 to 8 Dec 2019)
    • CF1 Director (2 Apr 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (2 Apr 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Apr 2013 to 30 Sep 2018)
  • R Collins & Co Limited

    FRN 629690

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (15 Jan 2016 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (11 Mar 2008 to 7 Jun 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 29 Feb 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

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