Roy Matthew Thompson

Last updated
2 days ago
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Where they hold approval

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

  • CB FINANCIAL ADVISERS LLP

    FRN 489484

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • CF1 Director (AR) (since 19 May 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 1 Sep 2011)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Sep 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Jun 2025)
    • CF11 Money Laundering Reporting (4 Jan 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Jan 2018 to 30 Sep 2018)
    • CF10 Compliance Oversight (4 Jan 2018 to 8 Dec 2019)
    • CF4 Partner (4 Jan 2018 to 8 Dec 2019)
  • Coole Bevis Wealth Management Ltd

    FRN 515456

    • Employed By (since 9 Sep 2011)
  • Bennett Griffin Wealth Management Limited (no longer approved here)

    FRN 727491

    • Employed By (4 Jan 2016 to 15 Sep 2022)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 1 Mar 2009)
    • CF21 Investment Adviser (8 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Feb 2006 to 8 Jun 2006)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (29 Jul 2004 to 25 Nov 2005)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 3 Aug 2004)

Recent activity

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

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