Kamaljit Kaur Dhaliwal

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.

  • Wealthmax Financial Advisers Limited

    FRN 766509

    • 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)
    • CF1 Director (AR) (since 18 Feb 2025)
    • [FCA CF] Client dealing (since 13 Aug 2022)
    • [FCA CF] Material risk taker (since 13 Aug 2022)
    • [FCA CF] Functions requiring qualifications (since 13 Aug 2022)
  • AF WEALTH MANAGEMENT LTD

    FRN 1021454

    • (1)Employed By (since 18 Feb 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Dec 2021)
    • CF1 Director (AR) (30 Jul 2015 to 16 Dec 2021)
    • CF30 Customer (8 Feb 2013 to 16 Dec 2021)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (26 Apr 2011 to 29 Jul 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 10 Mar 2011)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.