John Stuart Wallace

Last updated
6 days ago
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Where they hold approval

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

  • ADVISER BUSINESS SOLUTIONS LIMITED

    FRN 190181

    • 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)
    • CF30 Customer (since 28 Jan 2022)
    • Appointed representative dealing with clients for which they require qualification (since 10 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2021)
    • [FCA CF] Client dealing (since 10 Dec 2021)
  • DMJ Associates

    FRN 468860

    • (10)Employed By (since 28 Jan 2022)
  • Sentinel Portfolio Management Limited

    FRN 926168

    • 14. Managing investments
    • 10. Broker fund adviser
    • [FCA CF] Client dealing (since 28 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 23 Apr 2021)
    • SMF3 Executive Director (since 1 Mar 2021)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • SMF3 Executive Director (9 Dec 2019 to 28 Jan 2020)
    • CF1 Director (1 Jun 2012 to 1 Nov 2012)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (12 Jul 2006 to 31 Oct 2007)
    • CF27 Investment Management (3 May 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 Apr 2005 to 3 May 2005)

Recent activity

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

No changes recorded yet.