James Luke Wenborn Gibbon

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.

  • Independent Personal Financial Management Limited (no longer approved here)

    FRN 402334

    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Oct 2020)
    • SMF3 Executive Director (9 Dec 2019 to 19 Oct 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 19 Oct 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (29 Oct 2004 to 31 Mar 2009)
    • CF10 Compliance Oversight (29 Oct 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Oct 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (29 Oct 2004 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (29 Oct 2004 to 31 Oct 2007)
    • CF1 Director (29 Oct 2004 to 8 Dec 2019)

Recent activity

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

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