John Thomas Hartley

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.

  • LWM10 LTD

    FRN 458204

    • 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)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (since 28 Dec 2018)
  • Lakeside FS Ltd.

    FRN 788800

    • (6)Employed By (since 28 Dec 2018)
  • Artisan Financial Limited (no longer approved here)

    FRN 731132

    • CF1 Director (1 Jul 2016 to 6 Aug 2019)
    • CF11 Money Laundering Reporting (1 Jul 2016 to 6 Aug 2019)
    • CF30 Customer (1 Jul 2016 to 6 Aug 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (2 Sep 2010 to 16 Jan 2013)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (2 Oct 2009 to 13 Aug 2010)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (28 May 2008 to 8 Sep 2009)

Recent activity

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

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