Adrian Garry Purdy

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • PEAK ASSURED LIMITED

    FRN 482276

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (since 5 Aug 2008)
    • CF1 Director (AR) (since 5 Aug 2008)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Dec 2019)
    • CF11 Money Laundering Reporting (19 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Aug 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (5 Aug 2008 to 31 Mar 2009)
    • CF1 Director (5 Aug 2008 to 8 Dec 2019)
  • Alexander Wray & Co Ltd

    FRN 229653

    • (2)Employed By (since 15 Oct 2010)
  • Purdy Financial Services Ltd

    FRN 232277

    • (1)Employed By (since 26 Mar 2004)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 16 Sep 2008)
    • CF1 Director (AR) (26 Mar 2004 to 16 Sep 2008)
    • CF21 Investment Adviser (21 Sep 2002 to 31 Oct 2007)
  • Castlegate Partners LLP (no longer approved here)

    FRN 218358

    • Employed By (21 Sep 2002 to 16 Sep 2008)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 12 Aug 2002)

Recent activity

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

  1. controlled function removed: Employed By at Purdy Financial Services Ltd

  2. controlled function added: (1)Employed By at Purdy Financial Services Ltd

  3. controlled function removed: Employed By at Alexander Wray & Co Ltd

  4. controlled function added: (2)Employed By at Alexander Wray & Co Ltd