John Stephen Dungworth

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.

  • Westcourt Financial Services Limited

    FRN 458200

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Apr 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF1 Director (2 Jan 2007 to 8 Dec 2019)
  • Hebblethwaite Financial Services Ltd (no longer approved here)

    FRN 210550

    • (8)Employed By (16 Jan 2007 to 6 Sep 2007)
  • Westcourt Financial Services Ltd (no longer approved here)

    FRN 125256

    • Employed By (1 Oct 1998 to 29 Dec 2006)

Recent activity

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

No changes recorded yet.