Tomas Richard Pyart

Last updated
5 days ago
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Where they hold approval

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

  • Ethical Wealth Planning Ltd

    FRN 955055

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Significant management (since 4 Jan 2022)
    • Responsibility for MCD Intermediation (since 4 Jan 2022)
    • Responsible for Insurance Distribution (since 4 Jan 2022)
    • SMF16 Compliance Oversight (since 4 Jan 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jan 2022)
    • SMF3 Executive Director (since 4 Jan 2022)
    • [FCA CF] Client dealing (since 4 Jan 2022)
    • [FCA CF] Functions requiring qualifications (since 4 Jan 2022)
  • The Ethical Partnership Limited (no longer approved here)

    FRN 192557

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Mar 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 Mar 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 4 Apr 2022)
    • SMF3 Executive Director (9 Dec 2019 to 4 Apr 2022)
    • CF1 Director (10 Feb 2017 to 8 Dec 2019)
    • CF30 Customer (25 Nov 2014 to 8 Dec 2019)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (8 Aug 2012 to 2 Sep 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 31 Jul 2012)
    • CF22 Investment Adviser (Trainee) (31 Jul 2007 to 31 Oct 2007)

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