Darren Ralston

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.

  • PRIMARY FINANCIAL MANAGEMENT LTD

    FRN 603651

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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)
    • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
    • CF1 Director (2 Jan 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 22 Dec 2008)
    • CF21 Investment Adviser (2 Feb 2005 to 31 Oct 2007)
  • BBT Group Ltd (no longer approved here)

    FRN 189722

    • Employed By (5 Jul 2006 to 22 Dec 2008)
  • Bebbington Brumby Financial Management Limited (no longer approved here)

    FRN 192564

    • Employed By (2 Feb 2005 to 8 Dec 2019)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF21 Investment Adviser (2 Jan 2003 to 28 Jan 2005)
    • CF22 Investment Adviser (Trainee) (11 Sep 2002 to 2 Jan 2003)

Recent activity

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

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