Garry James Waller

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.

  • Mortgage Pensions & Investments LLP

    FRN 454273

    • 14. Managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 10. Broker fund adviser
    • 17. Administrative functions in relation to managing investments
    • Sole trader dealing with clients for which they require qualification (since 1 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (2 Oct 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Oct 2006 to 8 Dec 2019)
    • CF4 Partner (2 Oct 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (2 Oct 2006 to 30 Sep 2018)
  • TrendWatch Asset Management Ltd (no longer approved here)

    FRN 414207

    • CF30 Customer (30 Jan 2013 to 22 Jan 2018)
  • Mortgage & Pensions Advice Bureau (2565) (no longer approved here)

    FRN 184284

    • (3)Employed By (1 Oct 1998 to 15 Jul 2004)

Recent activity

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

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