Harvey Emanuel Mozer

Watch for changes

Where they hold approval

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

True Potential Wealth Management LLP (no longer approved here)
FRN 529810
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Feb 2022)
- [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2022)
- CF30 Customer (30 Jul 2012 to 8 Dec 2019)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (11 Apr 2011 to 14 Nov 2012)
Thomas Oliver UK LLP (no longer approved here)
FRN 501748
- (7)Employed By (14 Dec 2010 to 15 Apr 2011)
Openwork Limited (no longer approved here)
FRN 408285
- CF30 Customer (22 Jul 2008 to 15 Apr 2011)
Kings Group Limited Liability Partnership (no longer approved here)
FRN 162695
- (14)Employed By (15 Jul 2008 to 8 Dec 2019)

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

13 hours ago
controlled function added: (14)Employed By at Kings Group Limited Liability Partnership

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.