Gareth Alun Watkins

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • GLYNNEATH FINANCIAL SERVICES LTD

    FRN 511386

    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (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)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 19 Sep 2016)
    • CF11 Money Laundering Reporting (5 Feb 2010 to 8 Dec 2019)
    • CF1 Director (5 Feb 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Feb 2010 to 8 Dec 2019)
    • CF30 Customer (5 Feb 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Feb 2010 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 15 Mar 2010)
    • CF21 Investment Adviser (19 Jan 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 Oct 2004 to 19 Jan 2005)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF21 Investment Adviser (13 Jan 2004 to 25 Feb 2005)
    • CF22 Investment Adviser (Trainee) (20 Feb 2002 to 13 Jan 2004)
  • PRISM Independent Financial Advisers Limited (no longer approved here)

    FRN 200449

    • (8)Employed By (20 Feb 2002 to 10 Apr 2002)

Recent activity

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

No changes recorded yet.