Anthony James Powell

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.

  • PUZZLE FINANCIAL SOLUTIONS LLP

    FRN 830101

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Apr 2019)
    • Responsibility for MCD Intermediation (since 1 Apr 2019)
    • CF11 Money Laundering Reporting (1 Apr 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2019 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
    • CF4 Partner (1 Apr 2019 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 May 2013 to 9 May 2013)
  • PHOENIX FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 231135

    • CF30 Customer (1 Nov 2007 to 4 Sep 2019)
    • CF1 Director (1 Apr 2004 to 6 Jan 2010)
    • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)

Recent activity

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

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