Louis Petherick

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.

  • FNZ (UK) Ltd (no longer approved here)

    FRN 438687

    • SMF4 Chief Risk (25 Feb 2022 to 25 Aug 2023)
    • [FCA CF] Manager of certification employee (28 Oct 2021 to 25 Feb 2022)
    • [FCA CF] Material risk taker (20 Sep 2021 to 25 Feb 2022)
  • AJ Bell Securities Limited (no longer approved here)

    FRN 155593

    • SMF16 Compliance Oversight (9 Dec 2019 to 25 Jun 2021)
    • SMF3 Executive Director (9 Dec 2019 to 25 Jun 2021)
    • SMF4 Chief Risk (9 Dec 2019 to 25 Jun 2021)
    • CF1 Director (3 Jul 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Sep 2016 to 8 Dec 2019)
  • AJ Bell Management Limited (no longer approved here)

    FRN 211468

    • SMF16 Compliance Oversight (9 Dec 2019 to 25 Jun 2021)
    • SMF3 Executive Director (9 Dec 2019 to 25 Jun 2021)
    • SMF4 Chief Risk (9 Dec 2019 to 25 Jun 2021)
    • CF1 Director (3 Jul 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Sep 2016 to 8 Dec 2019)
  • AJ Bell Asset Management Limited (no longer approved here)

    FRN 774048

    • SMF16 Compliance Oversight (9 Dec 2019 to 25 Jun 2021)
    • SMF4 Chief Risk (9 Dec 2019 to 25 Jun 2021)
    • SMF3 Executive Director (9 Dec 2019 to 25 Jun 2021)
    • CF10 Compliance Oversight (24 Nov 2017 to 8 Dec 2019)
    • CF1 Director (24 Nov 2017 to 8 Dec 2019)
  • Marks and Spencer Unit Trust Management Limited (no longer approved here)

    FRN 141662

    • CF10 Compliance Oversight (27 Apr 2015 to 16 Sep 2016)
  • MARKS AND SPENCER FINANCIAL SERVICES PLC (no longer approved here)

    FRN 151427

    • CF10 Compliance Oversight (27 Apr 2015 to 6 Mar 2016)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF28 Systems and controls (28 Jan 2009 to 28 Feb 2010)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF28 Systems and controls (28 Jan 2009 to 28 Feb 2010)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF28 Systems and controls (28 Jan 2009 to 28 Feb 2010)

Recent activity

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

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