Judith Mary Williams

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.

  • Castle Sundborn Limited

    FRN 125913

    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (2 Apr 2012 to 8 Dec 2019)
  • Statehouse Financial Management Limited (no longer approved here)

    FRN 401761

    • CF10 Compliance Oversight (19 Jul 2010 to 9 Jan 2012)
    • CF1 Director (19 Jul 2010 to 30 Nov 2011)
    • CF11 Money Laundering Reporting (19 Jul 2010 to 9 Jan 2012)
    • CF30 Customer (18 Jun 2009 to 9 Mar 2012)
    • CF21 Investment Adviser (21 Feb 2006 to 3 Nov 2006)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jul 2003)

Recent activity

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

No changes recorded yet.