Mark Paterson

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.

  • Succession Financial Management Limited

    FRN 225831

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 2 Oct 2023)
    • [FCA CF] Client dealing (since 2 Oct 2023)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • [FCA CF] Client dealing (1 Jan 2021 to 1 Oct 2023)
    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 1 Oct 2023)
  • ADVANCED ASSET CONSULTANTS LIMITED (no longer approved here)

    FRN 506551

    • CF30 Customer (6 Jun 2016 to 9 Dec 2016)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (26 Jun 2015 to 4 Jun 2016)
  • Beals Mortgage and Financial Services Limited (no longer approved here)

    FRN 471442

    • Employed By (26 Jun 2015 to 4 Jun 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (30 Jun 2009 to 30 Sep 2011)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 15 May 2009)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (13 Dec 2006 to 13 Jul 2007)
    • CF21 Investment Adviser (31 Mar 2003 to 24 Feb 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (9 Mar 2006 to 30 Nov 2006)

Recent activity

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

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