Grant Robert Pendleton

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.

  • IAM Financial Services Ltd

    FRN 624638

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 27 Oct 2020)
    • [FCA CF] Client dealing (since 27 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Dec 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2014 to 30 Sep 2018)
    • CF1 Director (1 Dec 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2014 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2014 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF1 Director (AR) (31 Jul 2014 to 30 Apr 2021)
    • CF30 Customer (19 Nov 2010 to 26 Nov 2015)
  • Wealth Doctor Financial Planning Ltd (no longer approved here)

    FRN 625181

    • Employed By (31 Jul 2014 to 30 Apr 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (1 Jul 2014 to 3 Jul 2014)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (1 Jul 2014 to 3 Jul 2014)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (15 Mar 2010 to 5 Nov 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 9 May 2003)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 14 Mar 2010)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

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