Samuel Caplan

Last updated
6 days ago
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Where they hold approval

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

  • Caplan & Caplan Financial Services Limited

    FRN 949393

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2021)
    • Responsible for Insurance Distribution (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)
  • PXL ASSOCIATES LIMITED (no longer approved here)

    FRN 313562

    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 26 Oct 2023)
    • CF1 Director (AR) (27 Aug 2019 to 23 Feb 2022)
  • Caplan & Caplan Ltd (no longer approved here)

    FRN 912188

    • Employed By (27 Aug 2019 to 23 Feb 2022)

Recent activity

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

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