Gareth Sutton Jones

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.

  • A & J WEALTH MANAGEMENT LIMITED

    FRN 428590

    • 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)
    • SMF1 Chief Executive (since 30 Apr 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (8 Jul 2025 to 10 Nov 2025)
    • SMF16 Compliance Oversight (8 Jul 2025 to 10 Nov 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (4 Oct 2005 to 6 Nov 2008)
    • Responsible for Insurance Mediation (4 Oct 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (4 Oct 2005 to 1 Aug 2019)
    • CF10 Compliance Oversight (4 Oct 2005 to 1 Aug 2019)
    • CF1 Director (4 Oct 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (4 Oct 2005 to 31 Oct 2007)
  • Redwood Insurance Brokers Limited (no longer approved here)

    FRN 306450

    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2019)
    • CF30 Customer (14 May 2015 to 8 Dec 2019)
    • CF1 Director (14 Aug 2014 to 8 Dec 2019)

Recent activity

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

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