Thomas Ward

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.

  • AFFINITY FINANCIAL PLANNING LIMITED

    FRN 590340

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF11 Money Laundering Reporting (23 Jan 2013 to 8 Dec 2019)
    • CF1 Director (23 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Jan 2013 to 8 Dec 2019)
    • CF30 Customer (23 Jan 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (23 Jan 2013 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (28 Dec 2011 to 28 Dec 2012)
    • CF1 Director (AR) (28 Dec 2011 to 28 Dec 2012)
  • Andrew Ian Knode (no longer approved here)

    FRN 195412

    • Employed By (18 Jan 2002 to 28 Feb 2002)
  • Prudential International Assurance Plc (no longer approved here)

    FRN 170672

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 7 Aug 2003)

Recent activity

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

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