Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
A.G.B. Financial Services Limited
FRN 467705
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsible for Insurance Distribution (since 21 Jul 2021)
- [FCA CF] Manager of certification employee (since 1 Nov 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF1 Director (1 Nov 2017 to 8 Dec 2019)
-
The Wealth Group Limited
FRN 443827
- 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)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF1 Director (AR) (since 14 Dec 2012)
- CF30 Customer (since 1 Nov 2007)
- Responsible for Insurance Mediation (10 Mar 2014 to 30 Sep 2018)
- CF11 Money Laundering Reporting (6 May 2009 to 29 Oct 2012)
- CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (30 Jun 2006 to 31 Oct 2007)
- CF1 Director (30 Jun 2006 to 8 Dec 2019)
-
Kendall Wadley Wealth Limited
FRN 579272
- (5)Employed By (since 13 Dec 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.