Anthony Stephen Patterson

Last updated
3 weeks ago
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Where they hold approval

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

  • The Carruth Financial Group Limited

    FRN 134778

    • 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)
    • CF1 Director (AR) (since 6 Sep 2024)
    • CF30 Customer (since 6 Sep 2024)
    • Appointed representative dealing with clients for which they require qualification (since 22 May 2024)
    • [FCA CF] Client dealing (since 12 May 2021)
    • [FCA CF] Functions requiring qualifications (since 12 May 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Feb 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Feb 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CFG Investment Services Ltd

    FRN 448320

    • (2)Employed By (since 6 Sep 2024)
  • INTELLIGENT PENSIONS LIMITED

    FRN 186250

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jan 2023)
    • SMF1 Chief Executive (9 Dec 2019 to 25 Jan 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2024)
    • [PRA CF] Key function holder (9 Dec 2019 to 1 Jan 2023)
    • Responsible for Insurance Mediation (29 May 2018 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 7 Dec 2017)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Feb 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 21 Feb 2008)

Recent activity

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

  1. controlled function removed: Employed By at CFG Investment Services Ltd

  2. controlled function added: (2)Employed By at CFG Investment Services Ltd