Denis Joseph Penswick

Last updated
1 week ago
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Where they hold approval

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

  • At Retirement Options Wealth Management Ltd

    FRN 737323

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (9 Aug 2016 to 8 Dec 2019)
    • CF1 Director (9 Aug 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Aug 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Aug 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (9 Aug 2016 to 30 Sep 2018)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (13 Nov 2013 to 19 Sep 2016)
    • CF30 Customer (13 Nov 2013 to 19 Sep 2016)
  • At Retirement Options Financial Services Limited (no longer approved here)

    FRN 608874

    • Employed By (13 Nov 2013 to 19 Sep 2016)

Recent activity

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

No changes recorded yet.