John Frazer McWilliam

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.

  • MCWILLIAM IFS LTD

    FRN 842242

    • 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 22 Oct 2019)
    • Responsibility for MCD Intermediation (since 22 Oct 2019)
    • CF11 Money Laundering Reporting (22 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (22 Oct 2019 to 8 Dec 2019)
    • CF1 Director (22 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Oct 2019 to 8 Dec 2019)
  • Investnshare Mortgage Solutions (no longer approved here)

    FRN 627815

    • CF30 Customer (1 Dec 2014 to 4 Oct 2017)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (22 Nov 2013 to 11 Aug 2014)
  • Jigsaw Financial Associates Limited (no longer approved here)

    FRN 519787

    • (11)Employed By (22 Nov 2013 to 11 Aug 2014)
  • Melville Independent plc (no longer approved here)

    FRN 550326

    • Employed By (2 Aug 2013 to 8 Jan 2014)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (20 Jun 2011 to 19 Nov 2012)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF30 Customer (12 Mar 2009 to 14 May 2010)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 12 Mar 2009)
    • CF22 Investment Adviser (Trainee) (20 Apr 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (24 Feb 2006 to 24 Apr 2007)

Recent activity

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

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