Edmund Nigel Wallen

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.

  • Edmund Nigel Wallen (T/A KL & EW Financial Services)

    FRN 925897

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 26 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Apr 2021)
    • Sole trader dealing with clients for which they require qualification (since 26 Apr 2021)

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