Garry Lee Penfold

Last updated
1 week ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • QUILTER FINANCIAL SERVICES LIMITED

    FRN 440703

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF1 Director (AR) (since 23 Jan 2024)
    • Appointed representative dealing with clients for which they require qualification (since 29 Nov 2023)
    • CF30 Customer (since 14 Nov 2023)
  • Quilter Mortgage Planning Limited

    FRN 440718

    • CF1 Director (AR) (since 23 Jan 2024)
  • Derwen Financial Planning Ltd

    FRN 788539

    • Employed By (since 14 Nov 2023)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (29 Sep 2022 to 11 Dec 2023)
    • [FCA CF] Client dealing (29 Sep 2022 to 11 Dec 2023)
  • NFU Mutual Select Investments Limited (no longer approved here)

    FRN 582519

    • [FCA CF] Client dealing (9 Dec 2019 to 8 Jul 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Jul 2022)
    • CF30 Customer (1 Aug 2016 to 8 Dec 2019)
  • NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)

    FRN 117664

    • CF30 Customer (23 Jun 2011 to 31 Jul 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (9 Mar 2005 to 5 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Mar 2003 to 9 Mar 2005)

Recent activity

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

No changes recorded yet.