Christopher John Warnford Tottle

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.

  • JT Financial Management Limited

    FRN 627757

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 9A. Advising on P2P agreements
    • 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
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (17 Oct 2014 to 30 Sep 2018)
    • CF1 Director (17 Oct 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (17 Oct 2014 to 8 Dec 2019)
  • Triple Point Administration LLP (no longer approved here)

    FRN 618187

    • CF30 Customer (3 Jul 2014 to 9 Jul 2014)
  • Triple Point Investment Management LLP (no longer approved here)

    FRN 456597

    • CF30 Customer (3 Jul 2008 to 1 May 2014)
    • CF4 Partner (3 Jul 2008 to 1 May 2014)
  • GAM London Limited (no longer approved here)

    FRN 122330

    • CF30 Customer (1 Nov 2007 to 16 May 2008)
    • CF21 Investment Adviser (29 Jul 2002 to 31 Oct 2007)
  • SCHRODER & CO. LIMITED (no longer approved here)

    FRN 144206

    • CF21 Investment Adviser (1 Dec 2001 to 18 Jun 2002)
    • CF27 Investment Management (1 Dec 2001 to 18 Jun 2002)

Recent activity

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

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