Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RSQ WEALTH MANAGEMENT LIMITED
FRN 1023504
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Nov 2025)
- SMF3 Executive Director (since 20 Nov 2025)
- [FCA CF] Client dealing (since 20 Nov 2025)
- Responsible for Insurance Distribution (since 20 Nov 2025)
- SMF16 Compliance Oversight (since 20 Nov 2025)
- [FCA CF] Functions requiring qualifications (since 20 Nov 2025)
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HARTEY WEALTH MANAGEMENT LIMITED
FRN 593740
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 28 Oct 2024)
- [FCA CF] Client dealing (since 28 Oct 2024)
- CF1 Director (AR) (21 Nov 2024 to 20 Nov 2025)
- SMF3 (AR) Executive Director function (21 Nov 2024 to 20 Nov 2025)
- CF30 Customer (21 Nov 2024 to 20 Nov 2025)
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- (1)Employed By (21 Nov 2024 to 20 Nov 2025)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.