Sam Thomas Herbert

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 11 Feb 2016)
Pinnacle Wealth Management LLP
FRN 582859
- (52)Employed By (since 30 Jun 2017)
One Financial Planning Ltd (no longer approved here)
FRN 191206
- (49)Employed By (30 Nov 2012 to 26 Jan 2016)
Openwork Limited (no longer approved here)
FRN 408285
- CF30 Customer (30 Nov 2012 to 26 Jan 2016)

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

10 hours ago
controlled function added: (49)Employed By at One Financial Planning Ltd

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.