Thomas Adam Hood

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.

  • Hood Financial Planning Limited

    FRN 654530

    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Oct 2022)
    • CF11 Money Laundering Reporting (29 Oct 2015 to 8 Dec 2019)
    • CF30 Customer (7 Apr 2015 to 8 Dec 2019)
    • CF1 Director (7 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Apr 2015 to 8 Dec 2019)
    • CF10a CASS Oversight function (7 Apr 2015 to 12 Jul 2017)
    • Responsible for Insurance Mediation (7 Apr 2015 to 30 Sep 2018)
  • Vale Insurance Services Limited (no longer approved here)

    FRN 154917

    • CF30 Customer (1 Feb 2012 to 9 Apr 2015)
  • LEBC Group Ltd (no longer approved here)

    FRN 191818

    • Employed By (21 Apr 2004 to 31 Dec 2011)

Recent activity

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

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