Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 22 Aug 2013)
- CF4 Partner (AR) (since 22 Aug 2013)
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JML (FINANCIAL) ASSOCIATES LIMITED
FRN 195987
- 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
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF30 Customer (1 Jul 2008 to 9 Aug 2013)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF21 Investment Adviser (1 Dec 2001 to 29 Mar 2005)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
- CF11 Money Laundering Reporting (1 Dec 2001 to 29 Mar 2005)
- CF10 Compliance Oversight (1 Dec 2001 to 29 Mar 2005)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
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Wentworth Wealth Management LLP
FRN 605964
- (1)Employed By (since 22 Aug 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.