Leon Alan Masterman

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.

  • Masterman Financial Services LTD

    FRN 711846

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (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) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (7 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
    • CF1 Director (4 Jan 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Jan 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Jan 2016 to 30 Sep 2018)
  • Financial Advisory Services (no longer approved here)

    FRN 176972

    • (20)Employed By (16 Oct 2013 to 8 Dec 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (27 Dec 2007 to 24 Sep 2013)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF22 Investment Adviser (Trainee) (3 Aug 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.