Gareth Stacey Wallis

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.

  • Sandringham Financial Partners Limited

    FRN 581304

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (23 Jan 2017 to 8 Dec 2019)
  • TRULY INDEPENDENT LTD (no longer approved here)

    FRN 513655

    • CF30 Customer (10 Dec 2012 to 7 Mar 2017)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 22 Aug 2013)
    • CF21 Investment Adviser (27 Jun 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Mar 2007 to 27 Jun 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (25 Feb 2003 to 4 May 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 25 Feb 2003)

Recent activity

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

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