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.

  • Wealthtime Limited (no longer approved here)

    FRN 468461

    • SMF16 Compliance Oversight (29 Jun 2022 to 11 May 2023)
    • SMF3 Executive Director (29 Jun 2022 to 11 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (29 Jun 2022 to 11 May 2023)
  • Novia Financial Plc (no longer approved here)

    FRN 481600

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 May 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 11 May 2023)
    • CF10 Compliance Oversight (23 May 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (23 May 2012 to 8 Dec 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF24 Pension Transfer Specialist (1 Dec 2001 to 15 Mar 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 15 Mar 2002)
    • Employed By (7 Feb 2000 to 18 Mar 2002)

Recent activity

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

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