Christopher Woods

Last updated
6 days ago
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Where they hold approval

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

  • EST Wealth Ltd

    FRN 921582

    • 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] Manager of certification employee (since 7 Mar 2022)
    • Responsible for Insurance Distribution (since 23 Sep 2020)
    • SMF16 Compliance Oversight (since 23 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Sep 2020)
    • SMF3 Executive Director (since 23 Sep 2020)
    • [FCA CF] Client dealing (since 23 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 23 Sep 2020)
  • NTM FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 589715

    • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 4 Oct 2020)
    • [FCA CF] Client dealing (28 Jan 2020 to 4 Oct 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (30 Nov 2016 to 12 Dec 2019)
  • Davies Financial Limited (no longer approved here)

    FRN 429088

    • CF30 Customer (6 May 2016 to 3 Nov 2016)
  • Principality Building Society (no longer approved here)

    FRN 155998

    • CF22 Investment Adviser (Trainee) (7 Apr 2005 to 8 Sep 2006)

Recent activity

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

No changes recorded yet.