Ross Walker McLeod

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.

  • St Andrew's Square Asset Management Limited

    FRN 587640

    • 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] Client dealing (since 8 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 8 Sep 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (11 Jan 2013 to 8 Dec 2019)
    • CF1 Director (11 Jan 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jan 2013 to 8 Dec 2019)
    • CF30 Customer (11 Jan 2013 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (23 Apr 2009 to 25 Apr 2013)
  • Whyte Sharp Independent LLP (no longer approved here)

    FRN 223496

    • CF30 Customer (1 Nov 2007 to 31 Mar 2009)
    • CF4 Partner (1 Oct 2003 to 31 Mar 2009)
    • CF21 Investment Adviser (1 Oct 2003 to 31 Oct 2007)
  • Whyte Sharp Independent (2437) (no longer approved here)

    FRN 182548

    • Employed By (15 Aug 2002 to 31 Jan 2004)

Recent activity

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

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