Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Wealthmax Financial Advisers Limited
FRN 766509
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 16 Mar 2026)
- Responsibility for MCD Intermediation (25 Jan 2019 to 8 Apr 2019)
- CF10 Compliance Oversight (21 Jan 2019 to 8 Dec 2019)
- Responsible for Insurance Distribution (1 Oct 2018 to 18 Mar 2026)
- Responsible for Insurance Mediation (29 Mar 2018 to 30 Sep 2018)
- CF11 Money Laundering Reporting (29 Mar 2018 to 8 Dec 2019)
- CF1 Director (16 Jun 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.