Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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First With Mortgages Limited
FRN 408286
- 21. Advising or arranging (bringing about) equity release transactions
- 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
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- SMF16 Compliance Oversight (since 24 Mar 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Mar 2023)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 15 Jul 2016)
- Responsible for Insurance Mediation (15 Jul 2016 to 30 Sep 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (22 Sep 2006 to 31 Mar 2009)
- CF1 Director (22 Sep 2006 to 8 Dec 2019)
- CF3 Chief Executive (22 Sep 2006 to 8 Dec 2019)
- CF21 Investment Adviser (2 Sep 2005 to 31 Oct 2007)
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- CF7 Sole Trader (AR) (1 Jun 2005 to 1 Jun 2005)
- CF21 Investment Adviser (1 Jun 2005 to 1 Jun 2005)
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- (10)Employed By (1 Dec 2001 to 1 Jun 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.