Anthony Peter Walker

• Tony Walker Financial Planning Services Limited

  FRN 913426

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Jul 2020)
  • SMF16 Compliance Oversight (since 27 Jul 2020)
  • Responsible for Insurance Distribution (since 27 Jul 2020)
  • SMF3 Executive Director (since 27 Jul 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Quilter Financial Planning Solutions Limited (no longer approved here)

  FRN 184591

  • CF30 Customer (1 Nov 2007 to 16 Aug 2013)
  • CF22 Investment Adviser (Trainee) (16 May 2007 to 31 Oct 2007)
• Elevate Portfolio Services Limited (no longer approved here)

  FRN 144849

  • CF21 Investment Adviser (29 Dec 2004 to 26 Sep 2005)
  • CF7 Sole Trader (AR) (3 Jun 2004 to 31 Oct 2004)
  • CF22 Investment Adviser (Trainee) (3 Jun 2004 to 29 Dec 2004)
• Aviva Administration Limited (no longer approved here)

  FRN 185746

  • CF21 Investment Adviser (29 Dec 2004 to 27 Jun 2007)
  • CF7 Sole Trader (AR) (3 Jun 2004 to 23 Feb 2006)
  • CF22 Investment Adviser (Trainee) (3 Jun 2004 to 29 Dec 2004)
• Tony Walker Financial Planning Services (no longer approved here)

  FRN 401070

  • Employed By (3 Jun 2004 to 6 Jul 2007)
• ABERDEEN PLATFORM LIMITED (no longer approved here)

  FRN 188796

  • CF22 Investment Adviser (Trainee) (3 Dec 2001 to 31 Jul 2002)

No changes recorded yet.