John Whitehead

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.

  • MWA FINANCIAL ADVICE LTD

    FRN 460399

    • 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)
    • [FCA CF] Functions requiring qualifications (since 20 Apr 2025)
    • [FCA CF] Client dealing (since 20 Apr 2025)
  • Alan Boswell & Company Limited (no longer approved here)

    FRN 211088

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Dec 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Oct 2022)
    • SMF3 Executive Director (9 Dec 2019 to 7 Oct 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 Jan 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jan 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Dec 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Oct 2022)
    • CF1 Director (AR) (6 Jul 2011 to 7 Oct 2022)
    • CF30 Customer (1 Nov 2007 to 7 Oct 2022)
    • CF8 Apportionment and Oversight (15 Dec 2005 to 1 Nov 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (2 Oct 2002 to 31 Oct 2007)
    • CF10 Compliance Oversight (2 Oct 2002 to 8 Dec 2019)
    • CF1 Director (2 Oct 2002 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Oct 2002 to 15 Dec 2005)
  • Alan Boswell Employee Benefits Ltd (no longer approved here)

    FRN 544940

    • (5)Employed By (6 Jul 2011 to 7 Oct 2022)

Recent activity

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

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