Mark Edward Ashworth

Last updated
5 days ago
Watch for changes

Where they hold approval

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

  • GRAFTON COURT WEALTH MANAGEMENT LTD

    FRN 994563

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • [FCA CF] Manager of certification employee (since 7 Nov 2023)
    • [FCA CF] Client dealing (since 7 Nov 2023)
    • [FCA CF] Functions requiring qualifications (since 7 Nov 2023)
    • Responsible for Insurance Distribution (since 1 Nov 2023)
    • SMF3 Executive Director (since 1 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2023)
    • SMF16 Compliance Oversight (since 1 Nov 2023)
  • Red Dot (Cymru) Ltd (no longer approved here)

    FRN 302540

    • CF30 Customer (3 May 2022 to 1 Nov 2023)
    • CF1 Director (AR) (13 Dec 2021 to 1 Nov 2023)
    • Appointed representative dealing with clients for which they require qualification (1 Oct 2021 to 24 Jan 2025)
    • [FCA CF] Client dealing (1 Oct 2021 to 24 Jan 2025)
    • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 24 Jan 2025)
  • TITAN WEALTH PLANNING LTD (no longer approved here)

    FRN 574458

    • [FCA CF] Client dealing (9 Dec 2019 to 9 Jun 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jun 2021)
    • CF30 Customer (16 Dec 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.