Harry Moore

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.

  • Harry Moore

    FRN 425881

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Sole trader dealing with clients for which they require qualification (since 31 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (9 Nov 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Dec 2011 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Jun 2005 to 31 Oct 2007)
    • CF10 Compliance Oversight (14 Jun 2005 to 8 Dec 2019)
  • Harry Moore Independent Financial Advisers (1194) (no longer approved here)

    FRN 161439

    • (1)Employed By (1 Oct 1998 to 1 Jun 2005)

Recent activity

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

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