Patrick John Charles Waller

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Financial Planning Partners Limited (no longer approved here)

    FRN 301132

    • SMF3 Executive Director (9 Dec 2019 to 13 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 May 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 12 May 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 13 Oct 2020)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 17 Sep 2020)
    • CF30 Customer (25 Feb 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Feb 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Feb 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)

Recent activity

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

No changes recorded yet.