Gavin Paul Pugh

Last updated
1 week ago
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Where they hold approval

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

  • Newgate Premium Finance Ltd

    FRN 717715

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Apr 2026)
    • SMF3 Executive Director (since 29 Apr 2026)
  • J. ILLINGWORTH AND COMPANY LIMITED

    FRN 207560

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 21 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Feb 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 26 Apr 2016)
    • CF1 Director (AR) (since 14 Jan 2013)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (21 Jul 2009 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Sep 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (24 Mar 2005 to 3 Nov 2005)
  • Seekings & Wardle Financial Services Ltd

    FRN 232341

    • (1)Employed By (since 14 Jan 2013)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 4 Mar 2005)

Recent activity

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

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