Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ADVISER BUSINESS SOLUTIONS LIMITED
FRN 190181
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 21. Advising or arranging (bringing about) equity release transactions
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- SMF3 Executive Director (since 5 Mar 2020)
- SMF16 Compliance Oversight (since 5 Mar 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Mar 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- CF30 Customer (since 31 Aug 2012)
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DMJ Associates
FRN 468860
- (2)Employed By (since 31 Aug 2012)
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- SMF16 Compliance Oversight (3 Apr 2024 to 30 Jun 2025)
- Responsible for Insurance Distribution (3 Apr 2024 to 30 Jun 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (3 Apr 2024 to 30 Jun 2025)
- SMF3 Executive Director (3 Apr 2024 to 30 Jun 2025)
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- SMF17 Money Laundering Reporting Officer (MLRO) (1 Mar 2021 to 10 Dec 2025)
- SMF16 Compliance Oversight (1 Mar 2021 to 10 Dec 2025)
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- Employed By (9 Jan 2013 to 4 Mar 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.