Mark Sorby

Watch for changes

Where they hold approval

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

QUILTER WEALTH LIMITED (no longer approved here)
FRN 217742
- CF1 Director (AR) (23 Jan 2009 to 15 Jun 2012)
QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 440703
- CF1 Director (AR) (17 Dec 2008 to 30 May 2012)
- CF30 Customer (17 Dec 2008 to 30 May 2012)
Quilter Mortgage Planning Limited (no longer approved here)
FRN 440718
- CF1 Director (AR) (17 Dec 2008 to 30 May 2012)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF21 Investment Adviser (17 Oct 2005 to 21 Aug 2006)
- CF7 Sole Trader (AR) (3 Jun 2005 to 21 Aug 2006)
- CF22 Investment Adviser (Trainee) (3 Jun 2005 to 17 Oct 2005)
J.Montagu Financial Solutions Ltd (no longer approved here)
FRN 223000
- (1)Employed By (13 Jul 2004 to 24 Apr 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.