Patrick David Sault

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.

  • Washington Square Ltd

    FRN 524775

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 10 Jan 2019)
    • Responsible for Insurance Distribution (since 10 Jan 2019)
    • CF1 Director (25 Aug 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Jun 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Jun 2017 to 8 Dec 2019)
    • CF30 Customer (19 Jan 2017 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF21 Investment Adviser (21 May 2002 to 22 Nov 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 21 May 2002)
  • Westlea Independent Financial Advisors (no longer approved here)

    FRN 193040

    • Employed By (1 Dec 2001 to 22 Nov 2004)

Recent activity

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

No changes recorded yet.