Jonathon Mark Ridgment

Last updated
2 days ago
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Where they hold approval

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

  • CORNWALL FINANCE AND INVESTMENT SERVICES LIMITED

    FRN 596144

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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 11 Jan 2021)
    • [FCA CF] Client dealing (since 11 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF11 Money Laundering Reporting (5 Sep 2013 to 8 Dec 2019)
    • CF1 Director (5 Sep 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Sep 2013 to 8 Dec 2019)
    • CF30 Customer (5 Sep 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Sep 2013 to 30 Sep 2018)
  • Tom French & Associates Limited (no longer approved here)

    FRN 185513

    • CF30 Customer (1 Nov 2007 to 11 Jan 2010)
    • CF21 Investment Adviser (20 Mar 2003 to 31 Oct 2007)
  • Cornwall Independent Financial Advisers (no longer approved here)

    FRN 188240

    • Employed By (18 Feb 1999 to 30 Mar 2003)

Recent activity

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

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