Constantina Weeks

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.

  • SERENITY FINANCIAL PLANNING LTD

    FRN 452299

    • 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] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Oct 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 29 Oct 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Jul 2024)
    • Responsibility for MCD Intermediation (5 Oct 2017 to 2 Jul 2024)
    • CF10 Compliance Oversight (5 Oct 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (17 Jul 2006 to 31 Mar 2009)
    • CF1 Director (17 Jul 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Jul 2006 to 10 Sep 2015)
    • CF21 Investment Adviser (17 Jul 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (17 Jul 2006 to 30 Sep 2018)
  • Alexander Hall Associates Limited (no longer approved here)

    FRN 154485

    • CF21 Investment Adviser (1 Dec 2001 to 12 Jun 2003)

Recent activity

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

No changes recorded yet.