Thomas Alexander La Dell

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.

  • AAB Wealth Limited

    FRN 608548

    • 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] Client dealing (since 3 Oct 2022)
    • [FCA CF] Functions requiring qualifications (since 3 Oct 2022)
  • Hentons Wealth Limited (no longer approved here)

    FRN 809391

    • Responsibility for MCD Intermediation (16 Mar 2022 to 30 Sep 2022)
    • Responsible for Insurance Distribution (16 Mar 2022 to 30 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (2 Apr 2020 to 30 Sep 2022)
    • SMF16 Compliance Oversight (2 Apr 2020 to 30 Sep 2022)
    • SMF3 Executive Director (2 Apr 2020 to 30 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
  • BHP Financial Planning Limited (no longer approved here)

    FRN 191336

    • CF30 Customer (1 Mar 2016 to 6 Dec 2019)
  • Prosperis Limited (no longer approved here)

    FRN 223586

    • CF30 Customer (6 May 2014 to 26 Feb 2016)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (9 Sep 2013 to 25 Apr 2014)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 31 May 2013)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (31 Mar 2009 to 16 Sep 2010)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (30 Apr 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Jun 2006 to 1 May 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (30 Apr 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Jun 2006 to 1 May 2007)

Recent activity

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

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