John Hamish Thomas Mills

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.

  • Charles Royle & Company

    FRN 145844

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Mar 2022)
    • SMF27 Partner (since 23 Mar 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (10 Mar 2015 to 8 Dec 2019)
  • SHIPMAN FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 513289

    • CF30 Customer (17 Nov 2014 to 2 Mar 2015)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Jul 2014 to 13 Sep 2014)

Recent activity

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

No changes recorded yet.