Anthony Henderson Sowerby

Last updated
1 week ago
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Where they hold approval

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

  • Manfield Wealth Management Limited

    FRN 923347

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 28 Sep 2020)
    • SMF3 Executive Director (since 28 Sep 2020)
    • Responsible for Insurance Distribution (since 28 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Sep 2020)
    • SMF16 Compliance Oversight (since 28 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 28 Sep 2020)
    • [FCA CF] Significant management (28 Sep 2020 to 24 Sep 2021)
    • [FCA CF] CASS oversight function (28 Sep 2020 to 24 Sep 2021)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (5 Sep 2016 to 8 Dec 2019)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF21 Investment Adviser (11 Nov 2005 to 21 Aug 2006)
    • CF22 Investment Adviser (Trainee) (25 Apr 2005 to 11 Nov 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2005)

Recent activity

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

No changes recorded yet.