Scott Lee Moody

Last updated
2 weeks ago
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Where they hold approval

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

  • Ascot Lloyd Limited

    FRN 578614

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 18 Jan 2021)
    • [FCA CF] Client dealing (since 18 Jan 2021)
    • CF30 Customer (18 Dec 2017 to 8 Dec 2019)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (27 Nov 2007 to 4 Apr 2010)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF1 Director (AR) (20 Jul 2004 to 31 Dec 2007)
    • CF7 Sole Trader (AR) (20 Oct 2003 to 20 Jul 2004)
    • CF21 Investment Adviser (20 Oct 2003 to 31 Oct 2007)
  • The Octavian Partnership (SLM Financial Management Ltd) (no longer approved here)

    FRN 228874

    • Employed By (20 Oct 2003 to 31 Dec 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)

Recent activity

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

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