Adrian Broughton

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.

  • The Broughton Wilkins Partnership Ltd

    FRN 195273

    • (6)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (7)4. Giving personal recommendations on retail investment products which are not broker funds
    • (5)7. Giving personal recommendations on long-term care insurance contracts
    • (10)[FCA CF] Significant management (since 9 Dec 2019)
    • (8)[FCA CF] Client dealing (since 9 Dec 2019)
    • (9)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (4)SMF3 Executive Director (9 Dec 2019 to 30 May 2025)
    • (5)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (8)CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • (7)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (6)CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • ASH-RIDGE ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 401000

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (9 Feb 2007 to 31 Oct 2007)

Recent activity

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

  1. controlled function removed: [FCA CF] Functions requiring qualifications at The Broughton Wilkins Partnership Ltd

  2. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at The Broughton Wilkins Partnership Ltd

  3. controlled function removed: 7. Giving personal recommendations on long-term care insurance contracts at The Broughton Wilkins Partnership Ltd

  4. controlled function removed: [FCA CF] Client dealing at The Broughton Wilkins Partnership Ltd

  5. controlled function removed: [FCA CF] Significant management at The Broughton Wilkins Partnership Ltd

  6. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at The Broughton Wilkins Partnership Ltd

  7. controlled function added: (4)SMF3 Executive Director at The Broughton Wilkins Partnership Ltd

  8. controlled function added: (5)CF30 Customer at The Broughton Wilkins Partnership Ltd

  9. controlled function added: (6)CF24 Pension Transfer Specialist at The Broughton Wilkins Partnership Ltd

  10. controlled function added: (7)CF21 Investment Adviser at The Broughton Wilkins Partnership Ltd

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