Keith Balfour Small

Last updated
6 days ago
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Where they hold approval

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

  • Avoca Wealth Management Ltd

    FRN 925093

    • 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)
    • [FCA CF] Functions requiring qualifications (since 20 Feb 2021)
    • [FCA CF] Client dealing (since 20 Feb 2021)
    • Responsible for Insurance Distribution (since 9 Feb 2021)
    • SMF16 Compliance Oversight (since 9 Feb 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Feb 2021)
    • SMF3 Executive Director (since 9 Feb 2021)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 20 Feb 2021)
    • CF30 Customer (26 Jun 2012 to 20 Feb 2021)
  • Brian Mellon Wealth Ltd (no longer approved here)

    FRN 682706

    • Employed By (11 Aug 2015 to 18 Feb 2016)
  • Brian Mellon Financial Ltd (no longer approved here)

    FRN 448829

    • Employed By (26 Jun 2012 to 20 Feb 2021)

Recent activity

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

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