Gary Brian Mitchell

Last updated
3 weeks ago
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Where they hold approval

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

  • MITCHELL PROCKTER (FINANCIAL SERVICES) LIMITED

    FRN 121003

    • 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
    • Responsible for Insurance Distribution (since 16 Aug 2022)
    • [FCA CF] Manager of certification employee (since 12 Aug 2022)
    • SMF16 Compliance Oversight (since 15 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Jun 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 8 Feb 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (AR) (14 Feb 2005 to 14 Mar 2012)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.