Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Castle Financial & Mortgage Services
FRN 230534
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose
- 22. Designing scripted questions for execution-only sales of equity release transactions
- 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
- Sole trader dealing with clients for which they require qualification (since 27 Feb 2020)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF11 Money Laundering Reporting (10 Dec 2012 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF21 Investment Adviser (27 Feb 2004 to 31 Oct 2007)
- CF10 Compliance Oversight (27 Feb 2004 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.