Ketan Patel

Last updated
5 days ago
Watch for changes

Where they hold approval

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

  • Prerak Financial Services Ltd

    FRN 971689

    • 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
    • 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
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2022)
    • SMF3 Executive Director (since 1 Nov 2022)
    • [FCA CF] Client dealing (since 1 Nov 2022)
    • Responsibility for MCD Intermediation (since 1 Nov 2022)
    • Responsible for Insurance Distribution (since 1 Nov 2022)
    • SMF16 Compliance Oversight (since 1 Nov 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2022)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Jan 2023)
    • CF30 Customer (13 Aug 2008 to 30 Jan 2023)

Recent activity

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

No changes recorded yet.