Joseph Anthony Dunn

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.

  • Iceni Financial Advisers Limited

    FRN 596084

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (24 Apr 2013 to 8 Dec 2019)
    • CF1 Director (24 Apr 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Apr 2013 to 8 Dec 2019)
    • CF30 Customer (24 Apr 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (24 Apr 2013 to 30 Sep 2018)
  • MacRobins Ltd (no longer approved here)

    FRN 454247

    • (12)Employed By (9 Dec 2009 to 29 Jan 2013)
  • Hoyl Independent Advisers Ltd (no longer approved here)

    FRN 433927

    • CF30 Customer (1 Oct 2009 to 29 Jan 2013)
  • Insight Financial Associates Limited (no longer approved here)

    FRN 458421

    • CF30 Customer (2 Jan 2009 to 25 Sep 2009)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (21 Jul 2004 to 30 Nov 2004)
    • CF22 Investment Adviser (Trainee) (19 Jun 2003 to 21 Jul 2004)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (687)Employed By (19 Jun 2003 to 30 Nov 2004)

Recent activity

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

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