Christopher David Wise

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.

  • Whinchat Financial Planning Ltd

    FRN 803247

    • 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] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (13 Jun 2018 to 8 Dec 2019)
    • CF1 Director (13 Jun 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (13 Jun 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Jun 2018 to 30 Sep 2018)
  • Whinchat Financial Planning Ltd (no longer approved here)

    FRN 774122

    • Employed By (17 May 2017 to 11 Jun 2018)
  • OPUS Independent Financial Planning Limited (no longer approved here)

    FRN 529492

    • CF30 Customer (21 Apr 2017 to 11 Jun 2018)
  • Gemmell Financial Services Limited (no longer approved here)

    FRN 465096

    • CF30 Customer (3 Sep 2012 to 5 Apr 2017)
  • Budge and Company Limited (no longer approved here)

    FRN 133515

    • CF1 Director (30 Mar 2011 to 3 Sep 2012)
    • CF30 Customer (1 Feb 2011 to 3 Sep 2012)
  • James Brearley & Sons Limited (no longer approved here)

    FRN 189219

    • CF27 Investment Management (4 Jul 2003 to 2 Apr 2007)
    • CF21 Investment Adviser (4 Jul 2003 to 2 Apr 2007)

Recent activity

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

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