Roy Arthur East

Last updated
1 week ago
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Where they hold approval

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

  • Acquire Financial Planning Ltd

    FRN 787051

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 8 May 2020)
    • [FCA CF] Client dealing (since 8 May 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 8 May 2018)
    • CF1 Director (8 May 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 May 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 May 2018 to 8 Dec 2019)
    • CF30 Customer (8 May 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 May 2018 to 30 Sep 2018)
  • LEBC Group Limited (no longer approved here)

    FRN 760755

    • CF30 Customer (1 Aug 2017 to 31 Aug 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (29 Jul 2016 to 31 Jul 2017)
    • CF21 Investment Adviser (4 Jan 2002 to 9 May 2003)
  • LEBC Group Ltd (no longer approved here)

    FRN 191818

    • Employed By (29 Jul 2016 to 31 Jul 2017)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 15 Aug 2012)
    • CF21 Investment Adviser (3 Aug 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 May 2004 to 3 Aug 2004)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (29 Aug 2003 to 15 Jun 2004)
    • CF22 Investment Adviser (Trainee) (21 Jul 2003 to 29 Aug 2003)
  • Barrat Gray Ltd (no longer approved here)

    FRN 170308

    • Employed By (5 Jul 2001 to 20 May 2003)

Recent activity

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

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