Mark Julian Brown

Last updated
5 days ago
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Where they hold approval

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

  • Cleveden Park Wealth Ltd

    FRN 952233

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2021)
    • [FCA CF] Client dealing (since 4 Nov 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Sep 2021)
    • SMF3 Executive Director (since 23 Sep 2021)
    • SMF16 Compliance Oversight (since 23 Sep 2021)
    • Responsibility for MCD Intermediation (since 19 Aug 2021)
    • Responsible for Insurance Distribution (since 19 Aug 2021)
  • RIVERPARK INVESTMENT & FINANCIAL CONSULTANTS LTD. (no longer approved here)

    FRN 455480

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Oct 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Oct 2021)
    • CF30 Customer (23 Feb 2011 to 8 Dec 2019)
  • Park Row Associates (k508) (no longer approved here)

    FRN 190108

    • (236)Employed By (1 Sep 2000 to 14 Apr 2003)

Recent activity

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

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