Herbert Henry

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Trafalgar Financial Advisers

    FRN 460024

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 31 Jul 2016)
    • CF8 Apportionment and Oversight (2 Apr 2007 to 31 Mar 2009)
    • CF10 Compliance Oversight (2 Apr 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Apr 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
    • Responsible for Insurance Mediation (2 Apr 2007 to 30 Sep 2018)
  • Trafalgar Financial Advisers (no longer approved here)

    FRN 188279

    • Employed By (5 Nov 1998 to 21 Feb 2005)

Recent activity

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

No changes recorded yet.