Kevin Christopher O'Brien

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.

  • E.S.N Financial Services LLP

    FRN 825768

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 13 May 2019)
    • Responsibility for MCD Intermediation (since 13 May 2019)
    • CF11 Money Laundering Reporting (13 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 May 2019 to 8 Dec 2019)
    • CF4 Partner (13 May 2019 to 8 Dec 2019)
  • Scott and Casey Financial Management Limited (no longer approved here)

    FRN 213848

    • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
    • CF1 Director (19 Jul 2005 to 19 Dec 2012)
    • CF21 Investment Adviser (27 Mar 2003 to 31 Oct 2007)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2002)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2002)

Recent activity

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

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