Thomas Anthony Austin

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • ValidPath Limited

    FRN 197107

    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 5 Aug 2024)
    • CF1 Director (AR) (since 15 Jun 2024)
    • CF30 Customer (since 15 Jun 2024)
  • AFM MANAGEMENT LIMITED

    FRN 625128

    • (1)Employed By (since 8 Nov 2018)
  • FACET INVESTMENT MANAGEMENT LTD (no longer approved here)

    FRN 131372

    • [FCA CF] Functions requiring qualifications (13 Jan 2022 to 20 Jun 2024)
    • CF1 Director (AR) (9 Mar 2020 to 20 Jun 2024)
    • CF30 Customer (8 Nov 2018 to 20 Jun 2024)
  • Berkeley Financial Partners Ltd (no longer approved here)

    FRN 654149

    • (10)Employed By (29 Apr 2019 to 25 Jun 2024)
  • TITAN WEALTH PLANNING LTD (no longer approved here)

    FRN 574458

    • CF30 Customer (13 May 2016 to 28 Sep 2018)
  • Succession Financial Management Limited (no longer approved here)

    FRN 225831

    • CF30 Customer (5 Feb 2015 to 4 Mar 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (14 Jan 2005 to 28 May 2006)

Recent activity

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

  1. controlled function removed: Employed By at AFM MANAGEMENT LIMITED

  2. controlled function added: (1)Employed By at AFM MANAGEMENT LIMITED

  3. controlled function removed: Employed By at Berkeley Financial Partners Ltd

  4. controlled function added: (10)Employed By at Berkeley Financial Partners Ltd