Julian Charles Brown

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.

  • Gatehouse-IFA Ltd

    FRN 767863

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 28 Feb 2020)
    • [FCA CF] Benchmark submission and administration (since 28 Feb 2020)
    • [FCA CF] CASS oversight function (since 28 Feb 2020)
    • [PRA CF] Key function holder (since 28 Feb 2020)
    • [FCA CF] Significant management (since 28 Feb 2020)
    • [FCA CF] Manager of certification employee (since 28 Feb 2020)
    • [FCA CF] Client dealing (since 28 Feb 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (25 Aug 2017 to 8 Dec 2019)
    • CF1 Director (25 Aug 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Aug 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Aug 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (25 Aug 2017 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 25 Aug 2017)
    • CF21 Investment Adviser (6 Apr 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (19 Dec 2006 to 10 Apr 2007)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (26 Jun 2006 to 8 Dec 2006)
  • Molyneux Associates Ltd (no longer approved here)

    FRN 224498

    • (10)Employed By (26 Jun 2006 to 8 Dec 2006)

Recent activity

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

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