Thomas Dickson

Last updated
2 weeks ago
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Where they hold approval

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

  • WEALTHWIDE LIMITED

    FRN 468119

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 19 Mar 2021)
    • [FCA CF] Client dealing (since 19 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 May 2020)
    • Responsibility for MCD Intermediation (since 12 May 2020)
    • SMF16 Compliance Oversight (since 12 May 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Appointed representative dealing with clients for which they require qualification (19 Mar 2021 to 14 Apr 2021)
    • CF1 Director (AR) (22 Oct 2013 to 14 Apr 2021)
    • CF30 Customer (1 Nov 2007 to 14 Apr 2021)
    • CF21 Investment Adviser (6 Aug 2007 to 31 Oct 2007)
    • Responsible for Insurance Mediation (6 Aug 2007 to 30 Sep 2018)
    • CF1 Director (6 Aug 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 Aug 2007 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (6 Aug 2007 to 1 Sep 2013)
    • CF10 Compliance Oversight (6 Aug 2007 to 1 Sep 2013)
  • Dickson Lishman Prince (no longer approved here)

    FRN 187472

    • (2)Employed By (8 May 2001 to 31 Dec 2003)

Recent activity

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

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