Adam John Pollard

Last updated
3 weeks ago
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Where they hold approval

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

  • SOUND FINANCIAL MANAGEMENT LIMITED

    FRN 192052

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • SMF16 Compliance Oversight (since 27 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Mar 2024)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (since 18 Apr 2012)
    • CF30 Customer (since 1 Nov 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Apr 2008)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Apr 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Mark Holt & Co Wealth Management Ltd (no longer approved here)

    FRN 209691

    • (3)Employed By (17 Apr 2012 to 26 Dec 2024)
  • Money Vision Ltd (no longer approved here)

    FRN 216118

    • (3)Employed By (17 Apr 2012 to 29 Jan 2024)

Recent activity

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

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