Denis Webber Compton

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.

  • Western Financial Planning Ltd

    FRN 480405

    • 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)
    • [FCA CF] Functions requiring qualifications (since 17 Feb 2024)
    • [FCA CF] Client dealing (since 14 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Jul 2008 to 8 Dec 2019)
    • CF1 Director (1 Jul 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2008 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Jul 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (1 Jul 2008 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 7 Oct 2008)
    • CF21 Investment Adviser (9 Mar 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 Oct 2003 to 9 Mar 2004)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (19 Jun 2003 to 1 Dec 2003)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (617)Employed By (19 Jun 2003 to 1 Dec 2003)

Recent activity

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

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