Sean Michael Thompson

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 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
    • [FCA CF] Client dealing (since 14 Jun 2023)
    • [FCA CF] Functions requiring qualifications (since 14 Jun 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Jun 2023)
    • CF1 Director (AR) (3 Apr 2017 to 9 Jun 2023)
    • CF30 Customer (9 Jul 2014 to 9 Jun 2023)
  • Fairey Associates Ltd (no longer approved here)

    FRN 481350

    • CF30 Customer (4 Feb 2013 to 1 Jul 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (31 May 2011 to 11 Nov 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (30 Jul 2010 to 23 May 2011)

Recent activity

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

No changes recorded yet.