Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Moffatt Financial Planning Limited
FRN 198060
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- 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)
- [FCA CF] Client dealing (since 28 Nov 2024)
- [FCA CF] Functions requiring qualifications (since 28 Nov 2024)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.