Brian David Joseph Walker

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.

  • SN FINANCIAL SERVICES LIMITED

    FRN 231014

    • 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] Functions requiring qualifications (since 17 Mar 2025)
    • [FCA CF] Client dealing (since 17 Mar 2025)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (27 May 2020 to 22 Jan 2025)
    • [FCA CF] Client dealing (27 May 2020 to 22 Jan 2025)
    • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (25 Sep 2012 to 13 Mar 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (25 May 2011 to 31 Jul 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (18 Aug 2009 to 21 Apr 2011)
    • CF22 Investment Adviser (Trainee) (5 Dec 2006 to 31 Oct 2007)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (11 Aug 2008 to 7 Aug 2009)

Recent activity

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

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