Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Dragon Financial Planning Ltd
FRN 841978
- 21. Advising or arranging (bringing about) equity release transactions
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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)
- SMF16 Compliance Oversight (since 6 Dec 2024)
- Responsibility for MCD Intermediation (since 6 Dec 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Dec 2024)
- SMF3 Executive Director (since 6 Dec 2024)
- [FCA CF] Functions requiring qualifications (since 2 Aug 2022)
- [FCA CF] Client dealing (since 2 Aug 2022)
- SMF3 Executive Director (19 May 2020 to 1 Aug 2022)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.