Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Clifton Wealth Partnership Ltd (no longer approved here)

    FRN 541273

    • SMF16 Compliance Oversight (9 Dec 2019 to 28 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Feb 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 29 Oct 2019)
    • CF30 Customer (21 Mar 2014 to 29 Oct 2019)
    • CF11 Money Laundering Reporting (1 Apr 2011 to 8 Dec 2019)
    • CF1 Director (1 Apr 2011 to 29 Oct 2019)
    • CF10 Compliance Oversight (1 Apr 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2011 to 30 Sep 2018)
  • MOMENTUM BROKER SOLUTIONS LTD (no longer approved here)

    FRN 526435

    • CF1 Director (AR) (16 Sep 2016 to 29 Jan 2018)
  • Rees Astley Independent Financial Advisers Limited (no longer approved here)

    FRN 148187

    • CF30 Customer (1 Nov 2007 to 28 Apr 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.