Shane Mario Audie Kao

Last updated
1 week ago
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Where they hold approval

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

  • The Pension Planner Ltd

    FRN 669563

    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (6 Dec 2017 to 8 Dec 2019)
  • My Pension Expert Limited (no longer approved here)

    FRN 579999

    • CF30 Customer (12 Jul 2012 to 7 Nov 2017)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (23 May 2009 to 31 Dec 2009)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF22 Investment Adviser (Trainee) (9 Nov 2006 to 3 Jan 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (13 Jun 2003 to 18 Nov 2004)
    • CF22 Investment Adviser (Trainee) (11 Nov 2002 to 13 Jun 2003)
  • Aviva Life & Pensions UK Limited (no longer approved here)

    FRN 185896

    • CF21 Investment Adviser (20 Mar 2002 to 20 Mar 2002)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

No changes recorded yet.