Jason Mountjoy

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.

  • Clarity Wealth Management LLP

    FRN 575252

    • 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)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 29 Sep 2016)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Nov 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 14 Nov 2022)
    • Responsible for Insurance Mediation (10 Oct 2016 to 30 Sep 2018)
    • CF10 Compliance Oversight (29 Sep 2016 to 8 Dec 2019)
    • CF4 Partner (11 Jul 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jul 2012 to 8 Dec 2019)
    • CF30 Customer (11 Jul 2012 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 24 Sep 2012)
    • CF21 Investment Adviser (25 Jul 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (30 Mar 2007 to 25 Jul 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (29 Dec 2004 to 26 Mar 2007)

Recent activity

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

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