Where they hold approval

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

    • SMF29 Limited scope function (limited scope SMCR firms only) (since 15 Apr 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 25 Mar 2019)
    • Responsible for Insurance Distribution (since 25 Mar 2019)
    • CF10 Compliance Oversight (25 Mar 2019 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (15 Jul 2016 to 8 Dec 2019)
    • CF1 Director (15 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jul 2016 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF1 Director (AR) (7 Sep 2015 to 10 Sep 2021)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (7 Sep 2015 to 10 Sep 2021)
  • Dragon Brokers Limited (no longer approved here)

    FRN 599430

    • CF1 Director (AR) (23 Jul 2015 to 1 Oct 2019)
  • Be Money Savvy Ltd (no longer approved here)

    FRN 602097

    • Employed By (23 Jul 2015 to 10 Sep 2021)
  • ST&R Limited (no longer approved here)

    FRN 591815

    • CF1 Director (AR) (9 Oct 2014 to 9 Dec 2014)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (22 Oct 2013 to 14 Aug 2014)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (1 Jul 2013 to 24 Oct 2013)

Recent activity

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

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