Sean Nicholas McDermott

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.

  • SMC Financial Services Limited

    FRN 812935

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 18 Jan 2019)
    • Responsibility for MCD Intermediation (since 18 Jan 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Jun 2020)
    • CF10 Compliance Oversight (18 Jan 2019 to 8 Dec 2019)
    • CF1 Director (18 Jan 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Jan 2019 to 8 Dec 2019)
    • CF30 Customer (18 Jan 2019 to 8 Dec 2019)
  • Corbel Partners Limited (no longer approved here)

    FRN 429142

    • CF1 Director (AR) (4 May 2017 to 17 Jan 2019)
    • CF30 Customer (30 Sep 2016 to 17 Jan 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (15 Mar 2013 to 8 Nov 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (16 Mar 2011 to 9 Nov 2012)

Recent activity

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

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