Thomas Sebastian Warren

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 11 Mar 2023)
    • CF1 Director (AR) (since 6 Mar 2023)
    • CF30 Customer (since 6 Mar 2023)
    • [FCA CF] Functions requiring qualifications (3 Dec 2021 to 11 Mar 2023)
    • [FCA CF] Client dealing (3 Dec 2021 to 11 Mar 2023)
  • Warren Wealth Management Ltd

    FRN 992577

    • (1)Employed By (since 6 Mar 2023)
  • ASC FINANCIAL SOLUTIONS LIMITED (no longer approved here)

    FRN 506768

    • CF30 Customer (28 Jan 2019 to 13 Aug 2019)

Recent activity

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

No changes recorded yet.