Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Mearns & Company Limited
FRN 465557
- 11. Pension transfer specialist
- 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] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Sep 2024)
- CF11 Money Laundering Reporting (1 Jan 2018 to 8 Dec 2019)
- CF29 Significant management (13 Jan 2009 to 12 Dec 2016)
- Responsible for Insurance Mediation (13 Jan 2009 to 12 Dec 2016)
- CF1 Director (13 Jan 2009 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (2 May 2007 to 30 Aug 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.