Rory Rajan Joseph

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.

  • Nott Pybus & Associates Limited

    FRN 147535

    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • Responsibility for MCD Intermediation (since 3 Dec 2024)
    • SMF3 Executive Director (since 3 Dec 2024)
    • Responsible for Insurance Distribution (since 3 Dec 2024)
    • CF30 Customer (since 31 Jul 2023)
    • Appointed representative dealing with clients for which they require qualification (since 19 Jun 2023)
    • CF1 Director (AR) (since 31 Mar 2023)
    • [FCA CF] CASS oversight function (since 20 Jan 2023)
    • [FCA CF] Benchmark submission and administration (since 20 Jan 2023)
    • [PRA CF] Key function holder (since 20 Jan 2023)
    • [FCA CF] Significant management (since 20 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 20 Jan 2023)
    • [FCA CF] Client dealing (since 20 Jan 2023)
  • JLM MORTGAGE NETWORK LTD

    FRN 300629

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • Appointed representative dealing with clients for which they require qualification (since 29 Feb 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (since 26 Apr 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Distribution (1 Oct 2018 to 17 Oct 2024)
    • Responsible for Insurance Mediation (1 Aug 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Aug 2005 to 31 Mar 2009)
    • CF1 Director (1 Aug 2005 to 8 Dec 2019)
  • JLM Network Wealth Limited

    FRN 991615

    • (3)Employed By (since 31 Jul 2023)
  • JLM Mortgage Brokers Ltd

    FRN 953547

    • (2)Employed By (since 8 Jul 2021)
  • JLM Protection Limited

    FRN 953591

    • (2)Employed By (since 8 Jul 2021)
  • COTSWOLD INDEPENDENT FINANCIAL SERVICES LTD

    FRN 604634

    • 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
    • Appointed representative dealing with clients for which they require qualification (since 1 Jan 2020)
    • CF1 Director (AR) (since 8 Oct 2014)
    • CF30 Customer (since 21 Oct 2013)
    • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 2 Jan 2020)
    • [FCA CF] Client dealing (1 Jan 2020 to 15 Mar 2024)
  • Equity Release Mortgage Advice LTD

    FRN 725996

    • (1)Employed By (since 26 Apr 2019)
  • JLM MASTER BROKERS HITCHIN LTD

    FRN 829015

    • (1)Employed By (since 26 Apr 2019)
  • Kingsfleet Wealth Limited (no longer approved here)

    FRN 514731

    • CF1 Director (AR) (25 Jul 2012 to 6 Jun 2013)
    • CF30 Customer (12 Jul 2012 to 6 Jun 2013)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF1 Director (AR) (19 Jan 2012 to 22 Aug 2012)
    • CF30 Customer (10 Jan 2012 to 22 Aug 2012)

Recent activity

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

  1. controlled function removed: Employed By at JLM Network Wealth Limited

  2. controlled function added: (3)Employed By at JLM Network Wealth Limited