Iain Stuart Herbertson

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.

  • Morningstar Wealth Retirement Services Limited (no longer approved here)

    FRN 462660

    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Nov 2023)
    • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2023)
    • CF1 Director (7 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2018 to 8 Dec 2019)
  • Morningstar Wealth Administration Limited (no longer approved here)

    FRN 463566

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Nov 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Nov 2023)
    • CF11 Money Laundering Reporting (1 Oct 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2018 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF21 Investment Adviser (4 Apr 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.