Edward Andrew Chappell

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.

  • EDWARD CHAPPELL FINANCIAL SERVICES LIMITED

    FRN 541818

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (3 Oct 2011 to 8 Dec 2019)
    • CF1 Director (3 Oct 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2011 to 8 Dec 2019)
    • CF30 Customer (3 Oct 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Oct 2011 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 29 Dec 2011)
    • CF21 Investment Adviser (20 Mar 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Oct 2006 to 20 Mar 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (5 Aug 2003 to 24 Apr 2006)
    • CF22 Investment Adviser (Trainee) (31 Mar 2003 to 5 Aug 2003)

Recent activity

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

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