Harvey Stephen Gelman

Last updated
6 days ago
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Where they hold approval

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

  • Herts Financial Services Limited

    FRN 595005

    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 30 Jul 2021)
    • [FCA CF] Functions requiring qualifications (since 30 Jul 2021)
    • SMF3 Executive Director (since 11 Jun 2021)
    • Responsible for Insurance Distribution (11 Jun 2021 to 13 Apr 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (11 Jun 2021 to 7 Apr 2026)
    • SMF16 Compliance Oversight (11 Jun 2021 to 7 Apr 2026)
    • Responsibility for MCD Intermediation (11 Jun 2021 to 13 Apr 2026)
  • ARBUTUS WEALTH MANAGEMENT (AWM) LTD (no longer approved here)

    FRN 924987

    • [FCA CF] Functions requiring qualifications (5 Jan 2021 to 4 Apr 2023)
    • SMF3 Executive Director (5 Jan 2021 to 4 Apr 2023)
    • [FCA CF] Client dealing (5 Jan 2021 to 4 Apr 2023)
  • MWA FINANCIAL ADVICE LTD (no longer approved here)

    FRN 460399

    • CF1 Director (AR) (7 Mar 2013 to 4 Jan 2021)
    • CF30 Customer (12 Jan 2009 to 4 Jan 2021)
  • Later Life Matters Limited (no longer approved here)

    FRN 580066

    • Employed By (7 Feb 2013 to 4 Jan 2021)
  • Scott and Casey Financial Management Limited (no longer approved here)

    FRN 213848

    • CF1 Director (11 Nov 2002 to 13 Jul 2005)
    • CF11 Money Laundering Reporting (11 Nov 2002 to 28 May 2004)
    • CF8 Apportionment and Oversight (11 Nov 2002 to 13 Jul 2005)
    • CF21 Investment Adviser (11 Nov 2002 to 19 Jun 2007)

Recent activity

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

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