Sean McGrath

Last updated
1 week ago
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Where they hold approval

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

  • SM Solutions Ltd.

    FRN 829727

    • 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)
    • SMF3 Executive Director (since 19 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Dec 2019)
    • SMF16 Compliance Oversight (since 19 Dec 2019)
    • Responsible for Insurance Distribution (since 19 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (20 Jul 2017 to 2 May 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (7 Nov 2013 to 28 Oct 2014)
  • Uniec Prestige Ltd (no longer approved here)

    FRN 544324

    • Employed By (7 Nov 2013 to 28 Oct 2014)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (8 Jul 2011 to 7 Dec 2012)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (5 Jan 2007 to 10 May 2007)
    • CF22 Investment Adviser (Trainee) (7 Sep 2005 to 5 Jan 2007)

Recent activity

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

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