Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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MLP Wealth Management Ltd
FRN 413308
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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)
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Mar 2023)
- SMF3 Executive Director (since 27 Mar 2023)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (17 May 2017 to 8 Dec 2019)
- CF2 Non Executive Director (14 Oct 2005 to 21 Dec 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.