Tracey Payne

Last updated
3 weeks ago
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Where they hold approval

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

  • Herbert Scott Ltd

    FRN 179810

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF3 Executive Director (since 20 Aug 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (7 Jan 2013 to 8 Dec 2019)
  • Thesis Asset Management Limited (no longer approved here)

    FRN 114354

    • CF30 Customer (1 Nov 2007 to 20 Dec 2012)
    • CF27 Investment Management (11 Jul 2006 to 31 Oct 2007)
  • HANDELSBANKEN WEALTH & ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 197340

    • CF21 Investment Adviser (11 Feb 2005 to 8 Jun 2006)
    • CF27 Investment Management (11 Feb 2005 to 8 Jun 2006)

Recent activity

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

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