Scott Francis Herbert

Last updated
3 days ago
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Where they hold approval

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

  • CNFP LLP

    FRN 717535

    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 19 Jul 2016)
    • CF4 Partner (1 Mar 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2016 to 8 Dec 2019)
    • CF30 Customer (1 Mar 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Mar 2016 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 26 Feb 2016)
    • CF4 Partner (AR) (1 Feb 2007 to 26 Feb 2016)
    • CF21 Investment Adviser (30 Nov 2005 to 31 Oct 2007)
  • CNFP LLP (no longer approved here)

    FRN 461541

    • Employed By (1 Feb 2007 to 26 Feb 2016)

Recent activity

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

No changes recorded yet.