Information on firms authorised to provide retail investment advice - February 2024

5805

This figure is based on all firms holding one or more of the following permissions with the relevant limitation of ‘Retail (Investment)’:

• "Advising on P2P agreements"
• "Advising (ex Pension Transfers/opt outs)"
• "Advising on Pension Transfers/opt outs"

This data has been taken from internal data that mirrors data held on the FS Register.  Please note, however, that it differs from published data (The retail intermediary market data 2022[1]) which is taken from retail mediation activity returns provided by firms, as not all firms with the above permissions have to submit these returns.

31,182

These are all individuals approved for “Giving personal recommendations on retail investment products which are not broker funds”, as listed on the Directory of certified and assessed persons[2].

35,109

These are all individuals approved for “Advising or arranging regulated mortgage contracts”, as listed on the Directory of certified and assessed persons[3].