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.

  • FINANCIAL AFFAIRS WEALTH SOLUTIONS LIMITED (no longer approved here)

    FRN 606614

    • [FCA CF] Functions requiring qualifications (30 Nov 2020 to 30 Apr 2025)
    • [FCA CF] Client dealing (30 Nov 2020 to 30 Apr 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 28 Apr 2023)
    • SMF3 Executive Director (9 Dec 2019 to 28 Apr 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Apr 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 28 Apr 2023)
    • CF30 Customer (18 Nov 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Nov 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Nov 2013 to 8 Dec 2019)
    • CF1 Director (18 Nov 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (18 Nov 2013 to 30 Sep 2018)
  • Kirk Newsholme Financial Planning Limited (no longer approved here)

    FRN 456138

    • CF30 Customer (1 Nov 2011 to 28 Nov 2013)
    • CF1 Director (1 Nov 2011 to 28 Nov 2013)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • CF30 Customer (22 Jul 2009 to 30 Sep 2011)

Recent activity

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

No changes recorded yet.