James Michael Lance Hewitt

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.

  • GILLINGHAMS INDEPENDENT FINANCIAL ADVISERS LIMITED

    FRN 609295

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 7 Aug 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Aug 2023)
    • [FCA CF] Manager of certification employee (since 26 Jul 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 19 May 2016)
    • CF30 Customer (1 May 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 May 2014 to 8 Dec 2019)
    • CF1 Director (1 May 2014 to 8 Dec 2019)
  • Adanac Financial Services Ltd (no longer approved here)

    FRN 494917

    • CF30 Customer (24 Apr 2009 to 25 Mar 2011)

Recent activity

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

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