Gary Derek 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.

  • WILLIAM H. HOWARD LIMITED

    FRN 226154

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Responsibility for MCD Intermediation (since 26 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Nov 2021)
    • Responsible for Insurance Distribution (since 26 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 24 Aug 2020)
    • [FCA CF] Client dealing (since 24 Aug 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (30 Dec 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (30 Dec 2004 to 31 Oct 2007)
    • CF10 Compliance Oversight (30 Dec 2004 to 8 Dec 2019)
    • CF1 Director (30 Dec 2004 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (1 Oct 2003 to 22 Dec 2004)
  • William H Howard Ltd (U442) (no longer approved here)

    FRN 133614

    • Employed By (14 May 2003 to 30 Sep 2003)

Recent activity

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

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