Susan Thompson

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.

  • PARNABYEVANS FINANCIAL ADVISERS LIMITED

    FRN 668243

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Feb 2025)
    • Responsible for Insurance Distribution (since 5 Feb 2025)
    • Responsibility for MCD Intermediation (since 5 Feb 2025)
    • SMF16 Compliance Oversight (since 5 Feb 2025)
    • SMF3 Executive Director (since 5 Feb 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Jun 2024)
    • [FCA CF] Client dealing (since 4 Jun 2024)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 31 May 2024)
    • [FCA CF] Client dealing (7 Dec 2020 to 31 May 2024)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • [FCA CF] Functions requiring qualifications (6 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Client dealing (6 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (16 Mar 2018 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (16 Jun 2010 to 6 May 2011)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 5 May 2010)
    • CF22 Investment Adviser (Trainee) (14 Sep 2007 to 31 Oct 2007)

Recent activity

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

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