Kristopher Garwood

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.

  • Garwood Wealth Management Limited

    FRN 941828

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Client dealing (since 11 Aug 2021)
    • [FCA CF] Functions requiring qualifications (since 5 Aug 2021)
    • Responsible for Insurance Distribution (since 5 Aug 2021)
    • SMF16 Compliance Oversight (since 5 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2021)
    • SMF3 Executive Director (since 5 Aug 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Aug 2021)
    • CF1 Director (AR) (16 Jun 2017 to 5 Aug 2021)
    • CF30 Customer (17 May 2011 to 5 Aug 2021)
  • Investment Quorum Limited (no longer approved here)

    FRN 232088

    • CF30 Customer (21 Jan 2010 to 7 Feb 2011)

Recent activity

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

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