Glenn Matthew Brophy

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.

  • AAB Wealth Limited

    FRN 608548

    • 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] Functions requiring qualifications (since 8 Sep 2025)
    • [FCA CF] Client dealing (since 8 Sep 2025)
  • INTEGRITY FINANCIAL MANAGEMENT LIMITED

    FRN 449517

    • 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 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Aug 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 28 Aug 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 28 Aug 2025)
    • Responsibility for MCD Intermediation (7 Oct 2016 to 11 Sep 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 Jun 2006 to 31 Mar 2009)
    • CF1 Director (6 Jun 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Jun 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Jun 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (6 Jun 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (6 Jun 2006 to 30 Sep 2018)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (16 Dec 2002 to 28 Jul 2006)
    • CF7 Sole Trader (AR) (1 Oct 2002 to 28 Jul 2006)
    • CF22 Investment Adviser (Trainee) (1 Oct 2002 to 16 Dec 2002)
  • Integrity Financial Management (no longer approved here)

    FRN 208458

    • (1)Employed By (1 Oct 2002 to 28 Jul 2006)
  • BLACKTOWER FINANCIAL MANAGEMENT LIMITED (no longer approved here)

    FRN 188611

    • CF21 Investment Adviser (1 Dec 2001 to 13 Dec 2002)

Recent activity

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

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