Michael John O'Sullivan

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.

  • O'Sullivan Associates

    FRN 434743

    • 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)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (27 Oct 2005 to 31 Oct 2007)
    • CF10 Compliance Oversight (27 Oct 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Oct 2005 to 8 Dec 2019)
    • CF7 Sole Trader (27 Oct 2005 to 31 Jan 2007)
    • Responsible for Insurance Mediation (27 Oct 2005 to 30 Sep 2018)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (1 Dec 2001 to 9 Sep 2002)
    • CF4 Partner (AR) (1 Dec 2001 to 9 Sep 2002)
  • O'Sullivan & Coates Associates (no longer approved here)

    FRN 153724

    • (2)Employed By (1 Dec 2001 to 9 Sep 2002)

Recent activity

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

No changes recorded yet.