Derek John Avenell

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.

  • Hawthorn Financial Services (Wealth Management) Limited

    FRN 731359

    • 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] Client dealing (since 3 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 3 Mar 2020)
    • 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 Jun 2016 to 8 Dec 2019)
    • CF1 Director (1 Jun 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (1 Jun 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jun 2016 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF1 Director (AR) (16 Dec 2014 to 8 Apr 2015)
    • CF30 Customer (1 Nov 2007 to 2 Mar 2016)
    • CF21 Investment Adviser (8 Feb 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Aug 2004 to 8 Feb 2005)
  • Hawthorn Financial Services Ltd (no longer approved here)

    FRN 217250

    • (2)Employed By (6 Aug 2002 to 18 Nov 2004)

Recent activity

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

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