Charles Julian Mole

Last updated
2 weeks ago
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Where they hold approval

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

  • Gamble Gaunt & Mole LLP

    FRN 604487

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [FCA CF] Significant management (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
    • CF4 Partner (2 Jan 2014 to 8 Dec 2019)
  • MOSAAC LIMITED (no longer approved here)

    FRN 581080

    • CF30 Customer (10 Jul 2012 to 31 Dec 2013)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (23 May 2009 to 31 Dec 2009)
  • Park Row Associates (k508) (no longer approved here)

    FRN 190108

    • (226)Employed By (10 Jun 2002 to 14 Apr 2003)

Recent activity

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

No changes recorded yet.