Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Whittaker Financial Solutions Limited
FRN 409239
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 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)
- 9A. Advising on P2P agreements
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (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)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF30 Customer (since 1 Nov 2007)
- CF1 Director (AR) (since 1 Oct 2006)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (26 Nov 2004 to 31 Mar 2009)
- CF1 Director (26 Nov 2004 to 8 Dec 2019)
- CF10 Compliance Oversight (26 Nov 2004 to 8 Dec 2019)
- CF21 Investment Adviser (26 Nov 2004 to 31 Oct 2007)
- CF11 Money Laundering Reporting (26 Nov 2004 to 8 Dec 2019)
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Windle & Bowker Financial Solutions Ltd
FRN 456678
- (1)Employed By (since 7 Sep 2006)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Windle & Bowker Financial Solutions Ltd
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controlled function added: (1)Employed By at Windle & Bowker Financial Solutions Ltd