Ian James Edward Gough

Last updated
1 week ago
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Where they hold approval

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

  • WEST MIDLANDS WEALTH MANAGEMENT LIMITED

    FRN 705843

    • 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)
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (9 Dec 2019 to 16 Mar 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 16 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Mar 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 16 Mar 2026)
    • CF30 Customer (3 Aug 2015 to 8 Dec 2019)
    • CF1 Director (3 Aug 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Aug 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Aug 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Aug 2015 to 30 Sep 2018)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (1 Nov 2007 to 28 Apr 2015)
    • CF21 Investment Adviser (11 Dec 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 Sep 2002 to 11 Dec 2002)

Recent activity

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

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