Ramon Andrew Pettitt

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.

  • True Potential Wealth Management LLP

    FRN 529810

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Mar 2023)
    • [FCA CF] Client dealing (since 9 Mar 2023)
  • GALLEON WEALTH MANAGEMENT LTD

    FRN 596658

    • 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] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (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)
    • Responsible for Insurance Mediation (1 Jul 2013 to 30 Sep 2018)
    • CF1 Director (1 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2013 to 8 Dec 2019)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF30 Customer (18 Jun 2012 to 28 Mar 2013)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (31 Jan 2011 to 18 Jul 2012)
    • CF30 Customer (31 Jan 2011 to 18 Jul 2012)
    • CF21 Investment Adviser (12 Sep 2002 to 19 Oct 2004)
    • CF22 Investment Adviser (Trainee) (12 Sep 2002 to 12 Sep 2002)
  • Kesgrave Financial Services Ltd (no longer approved here)

    FRN 409246

    • (2)Employed By (31 Jan 2011 to 18 Jul 2012)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF22 Investment Adviser (Trainee) (12 Sep 2002 to 12 Sep 2002)
    • CF21 Investment Adviser (12 Sep 2002 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (12 Sep 2002 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (12 Sep 2002 to 12 Sep 2002)

Recent activity

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

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