Joanne Michele Brown

Last updated
6 days ago
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Where they hold approval

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

  • ARBUTUS WEALTH MANAGEMENT (AWM) LTD

    FRN 924987

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 12 Nov 2025)
    • [FCA CF] Client dealing (since 12 Nov 2025)
    • Responsible for Insurance Distribution (5 Jan 2021 to 29 Jul 2025)
    • [FCA CF] Functions requiring qualifications (5 Jan 2021 to 22 Oct 2025)
    • SMF16 Compliance Oversight (5 Jan 2021 to 26 Jun 2025)
    • [FCA CF] Client dealing (5 Jan 2021 to 22 Oct 2025)
    • SMF3 Executive Director (5 Jan 2021 to 26 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (5 Jan 2021 to 26 Jun 2025)
    • Responsibility for MCD Intermediation (5 Jan 2021 to 29 Jul 2025)
  • MWA FINANCIAL ADVICE LTD (no longer approved here)

    FRN 460399

    • CF1 Director (AR) (18 Mar 2013 to 4 Jan 2021)
    • CF30 Customer (1 Nov 2007 to 4 Jan 2021)
    • CF21 Investment Adviser (26 Feb 2007 to 31 Oct 2007)
  • Later Life Matters Limited (no longer approved here)

    FRN 580066

    • Employed By (7 Feb 2013 to 4 Jan 2021)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (11 Jun 2003 to 30 Nov 2005)
    • CF1 Director (AR) (19 Oct 2002 to 30 Nov 2005)
    • CF22 Investment Adviser (Trainee) (27 Mar 2002 to 11 Jun 2003)
  • Provision Financial Consultants Ltd (no longer approved here)

    FRN 165941

    • Employed By (27 Mar 2002 to 30 Nov 2005)

Recent activity

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

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