Owen David Shambrook

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Forest Financial Services Ltd

    FRN 810623

    • 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)
    • SMF3 Executive Director (since 28 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Sep 2023)
    • SMF16 Compliance Oversight (since 28 Sep 2023)
    • Responsible for Insurance Distribution (since 28 Sep 2023)
    • [FCA CF] Client dealing (since 20 Jun 2023)
    • [FCA CF] Functions requiring qualifications (since 20 Jun 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 4 Oct 2021)
    • CF30 Customer (27 Mar 2013 to 4 Oct 2021)
    • CF1 Director (AR) (27 Mar 2013 to 4 Oct 2021)
  • Capitol Financial Solutions Limited (no longer approved here)

    FRN 434781

    • Employed By (22 Jun 2015 to 4 Oct 2021)
  • Capitol Financial Services Ltd (no longer approved here)

    FRN 598000

    • Employed By (27 Mar 2013 to 4 Oct 2021)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (1 Nov 2007 to 27 Mar 2013)
    • CF1 Director (AR) (18 Jul 2005 to 27 Mar 2013)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
  • Capitol Financial Solutions (no longer approved here)

    FRN 214867

    • Employed By (1 Dec 2001 to 31 May 2005)

Recent activity

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

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