Robert Ernest Jimi Weale

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.

  • Smith Weale Associates LLP

    FRN 454361

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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)
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 4 Dec 2020)
    • [FCA CF] Client dealing (since 4 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Aug 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (25 Aug 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Aug 2006 to 8 Dec 2019)
    • CF4 Partner (25 Aug 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (25 Aug 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (25 Aug 2006 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (6 Mar 2006 to 30 Nov 2006)
    • CF4 Partner (AR) (6 Mar 2006 to 30 Nov 2006)
  • Smith Weale Associates (no longer approved here)

    FRN 228628

    • Employed By (2 Oct 2003 to 30 Nov 2006)
  • Financial Focus Limited (no longer approved here)

    FRN 227498

    • Employed By (13 Aug 2003 to 23 Jan 2004)

Recent activity

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

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