Ernest John Brown

Last updated
2 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Fairstone Wealth Management Limited

    FRN 188596

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 10 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 10 Jan 2024)
  • Fairstone Financial Management Limited

    FRN 475973

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (27 Mar 2018 to 8 Dec 2019)
  • FIL Wealth Management Limited (no longer approved here)

    FRN 464968

    • CF30 Customer (25 May 2017 to 6 Jun 2017)
  • GODDARD PERRY CONSULTING LIMITED (no longer approved here)

    FRN 125376

    • CF30 Customer (14 Dec 2016 to 7 Feb 2017)
  • AFM MANAGEMENT LIMITED (no longer approved here)

    FRN 625128

    • (4)Employed By (11 Jul 2014 to 3 Apr 2015)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (9 Sep 2013 to 4 Apr 2014)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (5 Dec 2011 to 9 Sep 2013)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 24 Dec 2007)
    • CF21 Investment Adviser (3 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Mar 2006 to 3 Nov 2006)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)

Recent activity

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

  1. controlled function removed: Employed By at AFM MANAGEMENT LIMITED

  2. controlled function added: (4)Employed By at AFM MANAGEMENT LIMITED