Christopher John Serle

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Enigma Wealth Management Limited

    FRN 719064

    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Apr 2016 to 8 Dec 2019)
    • CF1 Director (1 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2016 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2016 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (17 Dec 2014 to 1 Apr 2016)
    • CF30 Customer (17 Dec 2014 to 1 Apr 2016)
  • Enigma Wealth Management Limited (no longer approved here)

    FRN 658620

    • Employed By (9 Dec 2014 to 1 Apr 2016)
  • Gallagher Risk & Reward Limited (no longer approved here)

    FRN 184711

    • CF30 Customer (1 Jun 2014 to 30 Jun 2014)

Recent activity

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

No changes recorded yet.