Where they hold approval

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

  • J FINANCE LTD

    FRN 442742

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (9 Dec 2019 to 24 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Aug 2024)
    • SMF3 Executive Director (9 Dec 2019 to 13 Nov 2025)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 26 Nov 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 26 Nov 2024)
    • [PRA CF] Key function holder (9 Dec 2019 to 26 Nov 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Nov 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 26 Nov 2024)
    • Responsibility for MCD Intermediation (6 Oct 2016 to 26 Nov 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
    • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Functions requiring qualifications (26 Jul 2022 to 28 Apr 2023)
    • [FCA CF] Client dealing (26 Jul 2022 to 28 Apr 2023)

Recent activity

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

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