Dean John Mullaly

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.

  • Mark Dean Wealth Management (UK) Limited

    FRN 629592

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Aug 2024)
    • CF1 Director (AR) (24 Dec 2014 to 17 Aug 2016)
    • CF11 Money Laundering Reporting (1 Dec 2014 to 8 Dec 2019)
    • CF1 Director (1 Dec 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2014 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2014 to 30 Sep 2018)
  • WiseFunds Limited (no longer approved here)

    FRN 609486

    • Employed By (17 Dec 2014 to 26 May 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (19 May 2005 to 1 Jul 2005)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (21 Nov 2003 to 29 Mar 2004)
    • CF22 Investment Adviser (Trainee) (9 Jun 2003 to 21 Nov 2003)

Recent activity

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

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