Anthony William Wellby

Last updated
6 days ago
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Where they hold approval

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

  • Heronsgate Capital LLP

    FRN 933757

    • 14. Managing investments
    • 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
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF16 Compliance Oversight (since 1 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2021)
    • [FCA CF] Client dealing (since 1 Apr 2021)
    • SMF27 Partner (since 1 Apr 2021)
    • [PRA CF] Managing a material risk taker (1 Apr 2021 to 2 Apr 2021)
    • Responsible for Insurance Distribution (1 Apr 2021 to 1 Jun 2023)
    • [FCA CF] Material risk taker (1 Apr 2021 to 8 Jun 2023)
  • Dart Capital Limited (no longer approved here)

    FRN 137569

    • CF4 Partner (AR) (19 Mar 2020 to 31 Mar 2021)
    • CF30 Customer (19 Mar 2020 to 31 Mar 2021)
  • Heronsgate Capital LLP (no longer approved here)

    FRN 922113

    • Employed By (19 Mar 2020 to 31 Mar 2021)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2003)

Recent activity

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

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