Christopher Gerard Montgomery Wicks

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.

  • Peregrine & Black Investment Management Limited

    FRN 757727

    • 11. Pension transfer specialist
    • 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 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
  • Hoxton Capital Management (UK) Ltd (no longer approved here)

    FRN 826793

    • [FCA CF] Client dealing (10 Sep 2024 to 8 Nov 2024)
    • [FCA CF] Functions requiring qualifications (10 Sep 2024 to 8 Nov 2024)
  • Holborn Assets Ltd (no longer approved here)

    FRN 648817

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Oct 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 24 Oct 2023)
    • SMF3 Executive Director (9 Dec 2019 to 24 Oct 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 20 Oct 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Oct 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 24 Oct 2023)
    • CF11 Money Laundering Reporting (2 Feb 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)
    • CF1 Director (2 Feb 2015 to 8 Dec 2019)
    • CF30 Customer (2 Feb 2015 to 24 Oct 2023)
  • Bridgewater Financial Services Limited (no longer approved here)

    FRN 513392

    • Employed By (15 Apr 2015 to 24 Oct 2023)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (4 Dec 2009 to 21 Dec 2010)
    • CF30 Customer (4 Dec 2009 to 21 Dec 2010)

Recent activity

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

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