Jonathan Daniel Lamb

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.

  • Falco Investment Management Limited

    FRN 814308

    • [FCA CF] Client dealing (since 6 Mar 2024)
    • SMF16 Compliance Oversight (since 12 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Feb 2024)
    • SMF3 Executive Director (since 18 Aug 2023)
  • Falco Private Wealth Limited

    FRN 802016

    • 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] Manager of certification employee (since 3 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 3 Mar 2021)
    • [FCA CF] Client dealing (since 3 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 1 Jun 2018)
    • CF1 Director (1 Jun 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jun 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Jun 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2018 to 8 Dec 2019)
  • Capital Advisory Partners Ltd (no longer approved here)

    FRN 450657

    • CF30 Customer (29 May 2018 to 8 Dec 2019)
  • Lanner Capital Limited (no longer approved here)

    FRN 467847

    • Responsible for Insurance Mediation (9 Apr 2009 to 16 Jun 2015)
    • CF11 Money Laundering Reporting (9 Apr 2009 to 16 Jun 2015)
    • CF10 Compliance Oversight (9 Apr 2009 to 16 Jun 2015)
    • CF30 Customer (8 Jan 2009 to 11 Jul 2018)
    • CF1 Director (8 Jan 2009 to 11 Jul 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (16 Jan 2004 to 18 Aug 2004)

Recent activity

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

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