Robert Thomas

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Where they hold approval

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

The Swansea Mortgage Brokerage Ltd
FRN 950319
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 7 Dec 2021)
- SMF16 Compliance Oversight (since 7 Dec 2021)
- SMF3 Executive Director (since 7 Dec 2021)
- Responsibility for MCD Intermediation (since 7 Dec 2021)
- Responsible for Insurance Distribution (since 7 Dec 2021)
Quilter Mortgage Planning Limited (no longer approved here)
FRN 440718
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 2 Mar 2022)
- CF1 Director (AR) (7 Jul 2015 to 2 Mar 2022)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.