Gareth Lyn Morgan

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.

  • Morgan Wealth Management Limited

    FRN 522125

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 10 Nov 2016)
    • CF11 Money Laundering Reporting (1 Jul 2010 to 8 Dec 2019)
    • CF1 Director (1 Jul 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2010 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2010 to 30 Sep 2018)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (30 Jan 2009 to 20 Mar 2009)
  • G M Insurance Consultants Ltd (no longer approved here)

    FRN 408784

    • (2)Employed By (30 Jan 2009 to 1 Jul 2010)

Recent activity

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

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