Vaughn William Thomas

Watch for changes

Where they hold approval

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

CLAIM 4 MISLEADING FINANCIAL ADVICE LIMITED
FRN 930769
- SMF29 Limited scope function (limited scope SMCR firms only) (since 1 Feb 2022)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF4 Partner (AR) (9 Mar 2018 to 10 Jul 2019)
- CF30 Customer (15 Oct 2013 to 10 Jul 2019)
Sovereign Wealth Limited (no longer approved here)
FRN 471459
- (52)Employed By (15 Oct 2013 to 10 Jul 2019)
Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- CF30 Customer (23 Apr 2012 to 27 Sep 2013)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.