Mark Alexander Sekree

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • 3-S Financial Management

    FRN 439768

    • 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] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 20 Nov 2019)
    • Responsibility for MCD Intermediation (since 10 Oct 2016)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • CF11 Money Laundering Reporting (20 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (20 Nov 2019 to 8 Dec 2019)
    • CF4 Partner (23 Jan 2008 to 8 Dec 2019)
    • CF30 Customer (23 Jan 2008 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (28 Nov 2005 to 30 Nov 2005)
  • Pension & Investment Advisers (no longer approved here)

    FRN 153060

    • (1)Employed By (17 Jan 2005 to 4 Dec 2005)

Recent activity

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

No changes recorded yet.