Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Supreme Wealth Management
FRN 144732
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsible for Insurance Distribution (since 21 Jan 2020)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
- CF11 Money Laundering Reporting (1 Dec 2013 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Dec 2013 to 8 Dec 2019)
- CF4 Partner (28 Sep 2012 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF24 Pension Transfer Specialist (1 Jul 2004 to 31 Oct 2007)
- CF21 Investment Adviser (1 Jul 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.