Dennis Doherty

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • AFM Wealth Management Ltd

    FRN 936948

    • (1)7. Giving personal recommendations on long-term care insurance contracts
    • (3)4. Giving personal recommendations on retail investment products which are not broker funds
    • (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (9)[FCA CF] Functions requiring qualifications (since 3 Mar 2021)
    • (6)SMF16 Compliance Oversight (since 3 Mar 2021)
    • (7)SMF3 Executive Director (since 3 Mar 2021)
    • (8)[FCA CF] Client dealing (since 3 Mar 2021)
    • (4)Responsible for Insurance Distribution (since 3 Mar 2021)
    • (5)SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Mar 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (17 Oct 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Apr 2005 to 17 Oct 2005)

Recent activity

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

  1. controlled function removed: [FCA CF] Functions requiring qualifications at AFM Wealth Management Ltd

  2. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at AFM Wealth Management Ltd

  3. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at AFM Wealth Management Ltd

  4. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at AFM Wealth Management Ltd

  5. controlled function removed: Responsible for Insurance Distribution at AFM Wealth Management Ltd

  6. controlled function removed: 7. Giving personal recommendations on long-term care insurance contracts at AFM Wealth Management Ltd

  7. controlled function removed: SMF3 Executive Director at AFM Wealth Management Ltd

  8. controlled function removed: [FCA CF] Client dealing at AFM Wealth Management Ltd

  9. controlled function removed: SMF16 Compliance Oversight at AFM Wealth Management Ltd

  10. controlled function added: (1)7. Giving personal recommendations on long-term care insurance contracts at AFM Wealth Management Ltd

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