John Beverley Gaulton

Last updated
1 week ago
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Where they hold approval

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

  • John Gaulton Independent Financial Advisors

    FRN 732710

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF4 Partner (1 Jul 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2016 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2016 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (7 Jan 2009 to 31 Dec 2011)
  • HOWDEN FS LIMITED (no longer approved here)

    FRN 180563

    • CF21 Investment Adviser (16 Apr 2003 to 31 Dec 2003)
    • CF22 Investment Adviser (Trainee) (20 Feb 2003 to 16 Apr 2003)

Recent activity

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

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