Mark Emile Alghita

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.

  • Waterside Wealth Management Limited

    FRN 454764

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Oct 2006 to 8 Dec 2019)
    • CF1 Director (2 Oct 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Oct 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (2 Oct 2006 to 30 Sep 2018)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF30 Customer (5 Sep 2012 to 23 Nov 2012)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (25 Apr 2006 to 15 Dec 2006)
    • CF22 Investment Adviser (Trainee) (23 Aug 2004 to 25 Apr 2006)
  • Sinfonia Direct Ltd (no longer approved here)

    FRN 440606

    • Employed By (1 Nov 2005 to 15 Dec 2006)
  • Capital Planning UK Ltd (no longer approved here)

    FRN 402461

    • Employed By (23 Aug 2004 to 8 Dec 2019)

Recent activity

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

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