Kevin John Whelan

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.

  • Kingswood Law IFA Limited

    FRN 453814

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Aug 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Aug 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Aug 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (1 Aug 2008 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (14 Jul 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Jul 2006 to 31 Oct 2007)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF1 Director (AR) (31 Oct 2004 to 25 Feb 2010)
  • Legal & General Partnership Services Limited (no longer approved here)

    FRN 300792

    • CF1 Director (AR) (31 Oct 2004 to 8 Jan 2007)
  • Kingswood Law Ltd (no longer approved here)

    FRN 408031

    • (4)Employed By (31 Oct 2004 to 25 Feb 2010)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (1 Dec 2001 to 27 Jan 2003)
    • CF1 Director (AR) (1 Dec 2001 to 8 Jan 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF1 Director (AR) (1 Dec 2001 to 8 Jan 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 27 Jan 2003)

Recent activity

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

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