Thomas Steven Lovell

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.

  • One-To-One Advisers Limited

    FRN 592094

    • 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
    • [FCA CF] Client dealing (since 21 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 21 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (18 Feb 2013 to 8 Dec 2019)
    • CF1 Director (18 Feb 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Feb 2013 to 8 Dec 2019)
    • CF30 Customer (18 Feb 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (18 Feb 2013 to 30 Sep 2018)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (1 Nov 2007 to 18 Feb 2013)
    • CF22 Investment Adviser (Trainee) (7 Jun 2006 to 31 Oct 2007)
    • CF1 Director (AR) (31 Oct 2004 to 26 Apr 2006)
  • St Davids Independent Ltd (no longer approved here)

    FRN 415113

    • (8)Employed By (4 Dec 2004 to 26 Apr 2006)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF21 Investment Adviser (19 Aug 2004 to 25 Feb 2005)
    • CF22 Investment Adviser (Trainee) (19 Mar 2003 to 19 Aug 2004)
    • CF1 Director (AR) (19 Mar 2003 to 25 Feb 2005)
  • St Davids Independent Limited (no longer approved here)

    FRN 223548

    • (6)Employed By (19 Mar 2003 to 25 Feb 2005)

Recent activity

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

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