Adrian Warren Johnson

Last updated
6 days ago
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Where they hold approval

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

  • Permanent Wealth Partners LTD

    FRN 960049

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 22 Mar 2022)
    • [FCA CF] Client dealing (since 22 Mar 2022)
    • SMF16 Compliance Oversight (since 18 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Mar 2022)
    • SMF3 Executive Director (since 18 Mar 2022)
  • Julian Harris Financial Consultants (no longer approved here)

    FRN 153566

    • CF1 Director (AR) (29 Jul 2021 to 21 Mar 2022)
    • CF30 Customer (4 Jun 2021 to 21 Mar 2022)
  • THAMES RIVER CAPITAL LLP (no longer approved here)

    FRN 426349

    • CF13 Finance (18 Mar 2005 to 3 Nov 2006)

Recent activity

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

No changes recorded yet.