Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ASCOT LLOYD FINANCIAL PLANNING LIMITED
FRN 144519
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 12 Nov 2021)
- [FCA CF] Functions requiring qualifications (since 12 Nov 2021)
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- [FCA CF] Client dealing (12 Oct 2021 to 1 Jan 2022)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2022)
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- CF30 Customer (14 Sep 2017 to 8 Dec 2019)
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- CF30 Customer (12 Feb 2014 to 6 Mar 2016)
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- CF30 Customer (15 Jul 2011 to 21 Aug 2013)
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- CF30 Customer (31 Jul 2008 to 31 May 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.