Michael Graham Sudworth

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (7 Nov 2013 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (5 Mar 2012 to 21 Oct 2013)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (26 Feb 2009 to 30 Mar 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (16 Nov 2007 to 28 Mar 2008)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF21 Investment Adviser (19 Mar 2007 to 8 Oct 2007)
    • CF22 Investment Adviser (Trainee) (25 Jul 2006 to 19 Mar 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (7 Apr 2006 to 19 May 2006)
    • CF22 Investment Adviser (Trainee) (12 Oct 2004 to 7 Apr 2006)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF22 Investment Adviser (Trainee) (9 Jul 2004 to 1 Oct 2004)

Recent activity

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

No changes recorded yet.