Jonathan Paul Tuck

Last updated
3 weeks ago
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Where they hold approval

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

  • Charlwood IFA Limited

    FRN 226338

    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
    • [FCA CF] Client dealing (since 1 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Feb 2022)
    • SMF3 Executive Director (9 Dec 2019 to 2 Jun 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Feb 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 22 Feb 2022)
    • CF30 Customer (26 Sep 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Sep 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Sep 2003 to 31 Mar 2009)
    • CF1 Director (1 Sep 2003 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2003 to 8 Dec 2019)

Recent activity

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

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