Anthony Ashton

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • A & M WEALTH MANAGEMENT LIMITED

    FRN 400275

    • 2. Giving personal recommendations on 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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (16 Jun 2004 to 31 Mar 2009)
    • CF1 Director (16 Jun 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Jun 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Jun 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (16 Jun 2004 to 31 Oct 2007)
  • Thinc Independent Solutions (no longer approved here)

    FRN 177003

    • Employed By (9 Sep 2003 to 6 Feb 2004)

Recent activity

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

No changes recorded yet.