Mark Ellis Waller

Last updated
1 week ago
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Where they hold approval

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

  • Weston-Cummins Limited

    FRN 147608

    • SMF3 Executive Director (since 15 Aug 2023)
    • Responsible for Insurance Distribution (since 15 Aug 2023)
    • SMF16 Compliance Oversight (since 15 Aug 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Aug 2023)
  • R&S Associates Financial Planning Limited

    FRN 827417

    • SMF16 Compliance Oversight (since 6 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Mar 2023)
    • Responsible for Insurance Distribution (since 6 Mar 2023)
    • SMF3 Executive Director (since 6 Mar 2023)
  • HFMC Asset Management Limited

    FRN 194722

    • Responsible for Insurance Distribution (since 21 Dec 2021)
    • SMF3 Executive Director (since 24 Jun 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (27 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Jul 2016 to 8 Dec 2019)
  • HFMC Wealth Management Ltd

    FRN 146717

    • Responsible for Insurance Distribution (since 22 Oct 2020)
    • SMF3 Executive Director (since 24 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (27 Jul 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Jul 2016 to 8 Dec 2019)
  • HFMC Wealth Partners LLP

    FRN 427640

    • SMF27 Partner (since 24 Jun 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (27 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Jul 2016 to 8 Dec 2019)
  • HFMC Wealth Limited

    FRN 192999

    • Responsibility for MCD Intermediation (since 14 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 17 Dec 2018)
    • CF10 Compliance Oversight (17 Dec 2018 to 8 Dec 2019)
    • CF1 Director (17 Dec 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Dec 2018 to 8 Dec 2019)
  • Aspinalls Family Office LLP (no longer approved here)

    FRN 514965

    • Responsible for Insurance Distribution (22 Oct 2020 to 23 Mar 2026)
    • SMF16 Compliance Oversight (24 Jun 2020 to 23 Mar 2026)
    • SMF27 Partner (24 Jun 2020 to 31 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (24 Jun 2020 to 23 Mar 2026)

Recent activity

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

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