Daniel Terence Farrow

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.

  • SBN Advisors Limited

    FRN 454719

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (4 Sep 2006 to 31 Oct 2007)
    • CF1 Director (4 Sep 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Sep 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Sep 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (4 Sep 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (4 Sep 2006 to 30 Sep 2018)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF21 Investment Adviser (16 Apr 2004 to 11 Feb 2005)
  • Dennehy Wealth Limited (no longer approved here)

    FRN 114360

    • CF21 Investment Adviser (30 Mar 2004 to 11 Sep 2006)
    • CF22 Investment Adviser (Trainee) (14 May 2003 to 30 Mar 2004)

Recent activity

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

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