Brian Derek Wynn & Mrs Tracey Ann Wynn

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Credit Brokering
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Senior staff personally approved by the FCA to hold their roles here.

Brian Derek Wynn
IRN BDW01032
- SMF27 Partner (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF15 Internal Audit (14 Jan 2005 to 17 Nov 2006)
- CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 17 Nov 2006)
- CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 17 Nov 2006)
- CF11 Money Laundering Reporting (14 Jan 2005 to 17 Nov 2006)
- CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF4 Partner (14 Jan 2005 to 8 Dec 2019)
- CF13 Finance (14 Jan 2005 to 17 Nov 2006)
- CF14 Risk Assessment (14 Jan 2005 to 17 Nov 2006)
Tracey Ann Wynn
IRN TAW01063
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (14 Jan 2005 to 8 Dec 2019)

Updates to this firm'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. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

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