Ross Stephen Yiend

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.

  • Best Practice IFA Group Limited

    FRN 223112

    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in 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
    • [FCA CF] Client dealing (since 10 Oct 2023)
    • Appointed representative dealing with clients for which they require qualification (since 10 Oct 2023)
    • CF1 Director (AR) (since 1 Apr 2023)
    • CF30 Customer (since 1 Apr 2023)
  • PlanR Financial Planning Limited

    FRN 992037

    • (3)Employed By (since 1 Apr 2023)
  • Plutus Wealth Management LLP (no longer approved here)

    FRN 541499

    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Oct 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Oct 2023)
    • SMF27 Partner (9 Dec 2019 to 5 Oct 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 5 Oct 2023)
    • Responsible for Insurance Mediation (20 Jun 2018 to 30 Sep 2018)
    • Responsibility for MCD Intermediation (20 Jun 2018 to 5 Oct 2023)
    • CF10 Compliance Oversight (17 Dec 2014 to 8 Dec 2019)
    • CF4 Partner (3 Jan 2012 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)

Recent activity

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

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