Jacob Walker

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.

  • JJW Financial Planning Limited

    FRN 612464

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • [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)
    • Responsible for Insurance Mediation (28 Feb 2014 to 30 Sep 2018)
    • CF1 Director (28 Feb 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (28 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Feb 2014 to 8 Dec 2019)
    • CF30 Customer (28 Feb 2014 to 8 Dec 2019)
  • MHA Wealth Limited (no longer approved here)

    FRN 143715

    • CF30 Customer (10 Dec 2012 to 30 Jan 2014)
  • Rafter Associates Financial Management Limited (no longer approved here)

    FRN 116031

    • CF30 Customer (1 Nov 2007 to 12 Nov 2012)
    • CF1 Director (7 Jan 2002 to 12 Nov 2012)
    • CF27 Investment Management (1 Dec 2001 to 1 Jun 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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