Thomas Stephen Fleming

Last updated
6 days ago
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Where they hold approval

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

  • Y Tree Limited

    FRN 967369

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 3 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 17 Jun 2025)
  • Investment Quorum Limited (no longer approved here)

    FRN 232088

    • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 12 Jul 2024)
    • [FCA CF] Client dealing (1 Feb 2021 to 12 Jul 2024)

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