Dean Ballingall

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • RBK WEALTH MANAGEMENT LTD

    FRN 207491

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • Responsibility for MCD Intermediation (since 4 Aug 2022)
    • SMF16 Compliance Oversight (since 4 Aug 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Aug 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (11 Mar 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Apr 2014 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (29 May 2002 to 31 Oct 2007)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (24 May 2002 to 24 May 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 24 May 2002)
  • Rowanbank Financial Consultants Ltd (no longer approved here)

    FRN 194705

    • Employed By (21 Sep 2000 to 24 May 2002)

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

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