Thomas Waldock

Last updated
1 week ago
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Where they hold approval

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

  • Attivo Financial Limited

    FRN 497130

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 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)
    • [FCA CF] Functions requiring qualifications (since 5 Oct 2021)
    • [FCA CF] Client dealing (since 5 Oct 2021)
  • Attivo Financial Services Limited

    FRN 462105

    • 11. Pension transfer specialist
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (since 9 Sep 2019)
  • Attivo Financial Planning Limited

    FRN 451967

    • Employed By (since 9 Sep 2019)
  • JWA Financial Planning Ltd (no longer approved here)

    FRN 798772

    • CF30 Customer (1 Jun 2018 to 10 Oct 2018)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF30 Customer (14 Nov 2017 to 30 May 2018)

Recent activity

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

No changes recorded yet.