Last updated
2 days ago
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Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 5 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 May 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (20 Jul 2015 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (23 Jul 2012 to 26 Mar 2019)
    • CF10 Compliance Oversight (23 Jul 2012 to 26 Mar 2019)
    • CF1 Director (23 Jul 2012 to 8 Dec 2019)
    • CF30 Customer (23 Jul 2012 to 5 Apr 2017)
    • CF1 Director (AR) (since 24 Apr 2017)
    • CF30 Customer (3 Feb 2017 to 2 Jan 2020)
  • Cottons Financial Planning Limited (no longer approved here)

    FRN 625649

    • Employed By (3 Feb 2017 to 12 Mar 2026)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (10 Sep 2010 to 15 Aug 2011)
    • CF1 Director (AR) (10 Sep 2010 to 15 Aug 2011)
  • Cottons Financial Planning Ltd (no longer approved here)

    FRN 531017

    • Employed By (10 Sep 2010 to 15 Aug 2011)

Recent activity

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

No changes recorded yet.