Julian Mark Puddy

Watch for changes

Where they hold approval

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

OPUS Independent Financial Planning Limited (no longer approved here)
FRN 529492
- CF1 Director (AR) (1 Nov 2022 to 19 Mar 2024)
- [FCA CF] Client dealing (25 Mar 2021 to 1 Nov 2024)
- [FCA CF] Functions requiring qualifications (25 Mar 2021 to 1 Nov 2024)
- SMF3 Executive Director (23 Sep 2020 to 1 Nov 2024)
- CF30 Customer (15 Jan 2018 to 31 May 2020)
Napier Private Wealth Limited (no longer approved here)
FRN 986216
- (1)Employed By (1 Nov 2022 to 19 Mar 2024)
The Whitechurch Network Limited (no longer approved here)
FRN 190859
- CF30 Customer (17 Oct 2011 to 1 May 2014)
CLIFTON CONSULTING LIMITED (no longer approved here)
FRN 541544
- Employed By (21 Mar 2011 to 26 Nov 2011)
Clifton Compliance Services Ltd (no longer approved here)
FRN 480676
- CF30 Customer (21 Aug 2008 to 26 Nov 2011)
Clifton 310311 Limited (no longer approved here)
FRN 200448
- Employed By (28 Apr 2005 to 26 Nov 2011)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.