William John Pratt

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.

  • Paradigm Norton Financial Planning Ltd

    FRN 455083

    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 19 Jan 2026)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 May 2025)
    • CF1 Director (AR) (10 Jan 2011 to 3 May 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
    • CF1 Director (1 Sep 2006 to 8 Dec 2019)
  • Wollen Michelmore Financial Planning Ltd (no longer approved here)

    FRN 400890

    • Employed By (10 Jan 2011 to 8 May 2017)

Recent activity

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

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