Mark Pollock

Last updated
3 weeks ago
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Where they hold approval

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

  • HW Financial Services Limited

    FRN 134190

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Manager of certification employee (since 5 Oct 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Evelyn Partners Financial Planning Limited

    FRN 136414

    • 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] Manager of certification employee (since 5 Oct 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (17 Jul 2013 to 8 Dec 2019)
  • Union Bancaire Privée (UK) Limited (no longer approved here)

    FRN 119250

    • CF30 Customer (16 May 2011 to 1 Jul 2013)
  • Goldwoodshire Limited (no longer approved here)

    FRN 229138

    • CF30 Customer (1 Nov 2007 to 14 Feb 2011)
    • CF21 Investment Adviser (7 Oct 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (26 Sep 2005 to 7 Oct 2005)

Recent activity

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

No changes recorded yet.