Georgina Louise Warren

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.

  • Investment Partnership LLP

    FRN 590172

    • 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
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • [PRA CF] Key function holder (since 31 Mar 2021)
    • [FCA CF] Significant management (since 31 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF4 Partner (22 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jan 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jan 2013 to 8 Dec 2019)
    • CF30 Customer (22 Jan 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (22 Jan 2013 to 30 Sep 2018)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF4 Partner (AR) (12 Apr 2010 to 31 Dec 2012)
    • CF30 Customer (12 Apr 2010 to 31 Dec 2012)
  • The Investment Partnership LLP (no longer approved here)

    FRN 521632

    • Employed By (12 Apr 2010 to 31 Dec 2012)
  • The Investment Company (no longer approved here)

    FRN 153038

    • Employed By (18 Feb 2008 to 15 Dec 2009)

Recent activity

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

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