Sarah Ann Whitehead

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.

  • Sturgeon Ventures LLP

    FRN 452811

    • SMF16 Compliance Oversight (since 12 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Dec 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Nov 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • CF4 Partner (11 Jul 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Jul 2018 to 8 Dec 2019)
    • CF30 Customer (4 May 2016 to 8 Dec 2019)
  • Pemberton Capital Advisors LLP (no longer approved here)

    FRN 561640

    • CF30 Customer (1 Oct 2013 to 29 Feb 2016)
  • ING Bank N.V. (no longer approved here)

    FRN 124940

    • CF23 Corporate Finance Adviser (23 Oct 2003 to 23 Jul 2007)

Recent activity

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

No changes recorded yet.