Edward Arthur Paul Mills

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.

  • Patterson-Mills Financial Planning Limited

    FRN 774841

    • 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
    • [FCA CF] Client dealing (since 7 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (3 Jul 2017 to 8 Dec 2019)
    • CF1 Director (3 Jul 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jul 2017 to 8 Dec 2019)
    • CF30 Customer (3 Jul 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jul 2017 to 30 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (8 May 2009 to 11 Jul 2011)
    • CF1 Director (AR) (8 May 2009 to 11 Jul 2011)
  • Fisher Investments Europe Limited (no longer approved here)

    FRN 191609

    • CF30 Customer (29 Sep 2008 to 30 Jan 2009)
  • PERSPECTIVE (SOUTH EAST) LIMITED (no longer approved here)

    FRN 178690

    • CF24 Pension Transfer Specialist (9 Jan 2006 to 31 May 2007)

Recent activity

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

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