Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MM Wealth Ltd
FRN 148496
- Director of firm who is not a certification employee or a SMF manager (since 1 Jan 2021)
- [FCA CF] Material risk taker (9 Dec 2019 to 31 Jan 2021)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2021)
- [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2021)
- SMF3 Executive Director (9 Dec 2019 to 31 Dec 2020)
- Responsible for Insurance Distribution (1 Oct 2018 to 12 Nov 2018)
- Responsible for Insurance Mediation (21 Nov 2016 to 30 Sep 2018)
- CF10 Compliance Oversight (4 Dec 2012 to 12 Nov 2018)
- CF11 Money Laundering Reporting (4 May 2011 to 12 Nov 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (21 Nov 2003 to 8 Dec 2019)
- CF21 Investment Adviser (21 Nov 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.