Clare Kleanthous

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.

  • GMP Independent Financial Advisers LLP

    FRN 455048

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 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 21 Jan 2020)
    • [FCA CF] Significant management (since 21 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 6 Sep 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (2 Oct 2006 to 8 Dec 2019)
    • CF4 Partner (2 Oct 2006 to 8 Dec 2019)
  • GMP Independent Financial Advisers (2740) (no longer approved here)

    FRN 187069

    • (2)Employed By (12 Apr 1999 to 13 Dec 2006)

Recent activity

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

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