Stuart Clarke

Last updated
3 weeks ago
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Where they hold approval

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

  • Professional Financial Planning Ltd.

    FRN 845508

    • (1)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (6)[FCA CF] Functions requiring qualifications (since 19 Feb 2020)
    • (3)SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Feb 2020)
    • (4)SMF16 Compliance Oversight (since 19 Feb 2020)
    • (5)SMF3 Executive Director (since 19 Feb 2020)
    • (6)[FCA CF] CASS oversight function (19 Feb 2020 to 20 Feb 2020)
    • (4)[PRA CF] Key function holder (19 Feb 2020 to 20 Feb 2020)
    • (5)[FCA CF] Significant management (19 Feb 2020 to 20 Feb 2020)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 18 Feb 2020)
    • CF30 Customer (1 Nov 2007 to 18 Feb 2020)
    • CF1 Director (AR) (30 Nov 2006 to 18 Feb 2020)
    • CF22 Investment Adviser (Trainee) (30 Nov 2006 to 31 Oct 2007)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2006)
    • CF1 Director (AR) (1 Dec 2001 to 30 Nov 2006)
  • Professional Financial Planning Limited (no longer approved here)

    FRN 183466

    • Employed By (1 Dec 2001 to 18 Feb 2020)

Recent activity

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

  1. controlled function removed: [FCA CF] Functions requiring qualifications at Professional Financial Planning Ltd.

  2. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Professional Financial Planning Ltd.

  3. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Professional Financial Planning Ltd.

  4. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Professional Financial Planning Ltd.

  5. controlled function removed: SMF16 Compliance Oversight at Professional Financial Planning Ltd.

  6. controlled function removed: SMF3 Executive Director at Professional Financial Planning Ltd.

  7. controlled function added: (4)[PRA CF] Key function holder at Professional Financial Planning Ltd.

  8. controlled function added: (5)[FCA CF] Significant management at Professional Financial Planning Ltd.

  9. controlled function added: (6)[FCA CF] CASS oversight function at Professional Financial Planning Ltd.

  10. controlled function added: (1)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Professional Financial Planning Ltd.

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