John Chappell

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Where they hold approval

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

EDWARD CHAPPELL FINANCIAL SERVICES LIMITED
FRN 541818
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (3 Oct 2011 to 8 Dec 2019)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (1 Nov 2007 to 29 Dec 2011)
- CF22 Investment Adviser (Trainee) (1 Mar 2007 to 31 Oct 2007)
JLT Wealth Management Limited (no longer approved here)
FRN 196619
- CF21 Investment Adviser (12 Jan 2005 to 31 Oct 2006)
- CF1 Director (12 Jan 2005 to 29 Nov 2005)
Thesis Asset Management Limited (no longer approved here)
FRN 114354
- CF21 Investment Adviser (1 Dec 2001 to 12 Jun 2003)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.