Keith Adrian Brown

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.

  • Circle Financial Services Limited

    FRN 148759

    • 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
    • 11. Pension transfer specialist
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 1 Mar 2026)
    • [FCA CF] Significant management (since 21 Aug 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Dec 2019)
    • CF11 Money Laundering Reporting (13 Sep 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (6 May 2003 to 31 Oct 2007)
  • Mercia Underwriting Solutions Ltd

    FRN 304948

    • [FCA CF] Significant management (since 31 Mar 2021)
  • CIRCLE INSURANCE SERVICES LIMITED

    FRN 307381

    • [FCA CF] Significant management (since 31 Mar 2021)
    • CF11 Money Laundering Reporting (13 Sep 2010 to 14 Jun 2019)
  • Creative Risk Solutions Ltd

    FRN 464390

    • [FCA CF] Significant management (since 31 Mar 2021)
  • Prudential Pensions Limited (no longer approved here)

    FRN 110434

    • CF21 Investment Adviser (1 Dec 2001 to 2 Apr 2003)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF21 Investment Adviser (1 Dec 2001 to 2 Apr 2003)

Recent activity

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

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