Gareth Tony Upham

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.

  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (14 Jun 2021 to 14 Sep 2023)
    • [FCA CF] Functions requiring qualifications (5 Feb 2021 to 31 Mar 2021)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 12 Aug 2021)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 12 Aug 2021)
    • CF30 Customer (4 Nov 2016 to 12 Aug 2021)
    • CF1 Director (AR) (4 Nov 2016 to 12 Aug 2021)
  • Pembrokeshire Wealth Management Ltd (no longer approved here)

    FRN 763082

    • (1)Employed By (4 Nov 2016 to 12 Aug 2021)
  • Pembrokeshire Mortgage Centre Ltd (no longer approved here)

    FRN 479220

    • CF1 Director (2 Jun 2008 to 13 Apr 2017)
    • CF10 Compliance Oversight (2 Jun 2008 to 29 Nov 2011)
    • CF30 Customer (2 Jun 2008 to 13 Apr 2017)
  • N.D. Toy & Partners Limited (no longer approved here)

    FRN 131345

    • (8)Employed By (1 Dec 2001 to 31 Dec 2002)

Recent activity

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

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