Kevin Raymond Gruszka

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.

  • VISION INDEPENDENT FINANCIAL ADVISORS LTD

    FRN 551169

    • 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] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (19 Jul 2021 to 13 May 2024)
    • SMF16 Compliance Oversight (19 Jul 2021 to 13 May 2024)
    • SMF3 Executive Director (9 Dec 2019 to 13 May 2024)
    • CF30 Customer (3 Aug 2011 to 8 Dec 2019)
    • CF1 Director (3 Aug 2011 to 8 Dec 2019)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF1 Director (AR) (26 Jan 2010 to 21 Jul 2011)
    • CF4 Partner (AR) (29 Jul 2008 to 20 Jan 2010)
    • CF30 Customer (29 Jul 2008 to 21 Jul 2011)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 18 Dec 2008)
    • CF21 Investment Adviser (20 Feb 2003 to 31 Oct 2007)
  • BBT Group Ltd (no longer approved here)

    FRN 189722

    • Employed By (5 Jul 2006 to 18 Dec 2008)
  • Bebbington Brumby Financial Management Limited (no longer approved here)

    FRN 192564

    • Employed By (20 Feb 2003 to 8 Dec 2019)

Recent activity

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

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