Jo-Ann Westlake-Ball

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 13 Jan 2025)
    • [FCA CF] Client dealing (since 13 Jan 2025)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (12 Mar 2022 to 14 Nov 2024)
    • Appointed representative dealing with clients for which they require qualification (28 Oct 2021 to 14 Nov 2024)
  • PRG Financial Planners Limited (no longer approved here)

    FRN 592781

    • (25)Employed By (12 Mar 2022 to 14 Nov 2024)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • Appointed representative dealing with clients for which they require qualification (17 Jun 2021 to 10 Jan 2023)

Recent activity

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

No changes recorded yet.