John William Brown

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.

  • BROWN,THORNTON & LEE INDEPENDENT FINANCIAL ADVISERS LLP

    FRN 428648

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 8 Dec 2020)
    • [FCA CF] Client dealing (since 8 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (since 23 Nov 2006)
    • CF11 Money Laundering Reporting (15 Apr 2013 to 8 Dec 2019)
    • CF21 Investment Adviser (12 May 2005 to 31 Oct 2007)
    • CF10 Compliance Oversight (12 May 2005 to 1 Mar 2008)
    • CF8 Apportionment and Oversight (12 May 2005 to 1 Mar 2008)
    • CF4 Partner (12 May 2005 to 8 Dec 2019)
  • Harkertine Consultants Ltd

    FRN 537645

    • (1)Employed By (since 4 Apr 2013)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2005)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 28 Jun 2005)

Recent activity

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

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