Ian Arthur Clarke

Last updated
3 days ago
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Where they hold approval

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

  • MIDDLETON PRIVATE CAPITAL LTD.

    FRN 804197

    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Jul 2021)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF1 Director (1 Jun 2018 to 8 Dec 2019)
    • CF30 Customer (1 Jun 2018 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 9 Jan 2018)
    • CF21 Investment Adviser (19 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Feb 2006 to 19 May 2006)
  • Clarke Associates Wealth Management (no longer approved here)

    FRN 448193

    • Employed By (16 Feb 2006 to 9 Jan 2018)

Recent activity

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

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