Where they hold approval

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

    • 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 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
    • CF1 Director (2 Jan 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
  • RMB FINANCIAL MANAGEMENT (UK) LIMITED (no longer approved here)

    FRN 488850

    • CF30 Customer (17 Nov 2008 to 24 Nov 2008)
    • CF1 Director (17 Nov 2008 to 30 Dec 2010)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (1 Nov 2007 to 24 Nov 2008)
    • CF21 Investment Adviser (19 Sep 2007 to 31 Oct 2007)
  • RMB Financial Management (UK) Ltd (no longer approved here)

    FRN 192704

    • (5)Employed By (19 Sep 2007 to 8 Dec 2019)

Recent activity

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

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