Mark Nigel Garnett

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.

  • Advisory Investment Services Limited

    FRN 809690

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 24 Sep 2020)
    • [FCA CF] Client dealing (since 24 Sep 2020)
    • 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 2 Jan 2019)
    • CF10 Compliance Oversight (2 Jan 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2019 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2019 to 8 Dec 2019)
    • CF1 Director (2 Jan 2019 to 8 Dec 2019)
  • Professional Pensions and Investments Limited (no longer approved here)

    FRN 208951

    • CF1 Director (AR) (28 Apr 2016 to 31 Dec 2018)
    • CF30 Customer (28 Apr 2016 to 31 Dec 2018)
  • Evelyn Partners Investment Management LLP (no longer approved here)

    FRN 580531

    • CF30 Customer (7 May 2013 to 31 Mar 2016)
  • Evelyn Partners Investment Services Limited (no longer approved here)

    FRN 131816

    • CF30 Customer (1 Jan 2013 to 30 Sep 2013)
  • HOWDEN FS LIMITED (no longer approved here)

    FRN 180563

    • CF30 Customer (1 Nov 2007 to 31 Mar 2016)
    • CF21 Investment Adviser (28 Oct 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Sep 2002 to 28 Oct 2002)
  • Clarity Limited (no longer approved here)

    FRN 185468

    • CF24 Pension Transfer Specialist (1 Dec 2001 to 15 Apr 2002)
    • CF1 Director (1 Dec 2001 to 15 Apr 2002)

Recent activity

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

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