Gary O'Brien

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.

  • Ardent IFA Limited

    FRN 462172

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF1 Chief Executive (22 Jun 2020 to 31 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Aug 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Mar 2024)
    • Responsible for Insurance Mediation (6 Jun 2018 to 30 Sep 2018)
    • Responsibility for MCD Intermediation (27 Jun 2017 to 31 Mar 2024)
    • CF11 Money Laundering Reporting (27 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Jun 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (2 Apr 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
    • CF1 Director (2 Apr 2007 to 8 Dec 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF21 Investment Adviser (1 Feb 2007 to 30 Mar 2007)
    • CF22 Investment Adviser (Trainee) (1 Jun 2005 to 1 Feb 2007)

Recent activity

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

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