Stuart John Finlayson

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.

  • AVN Wealth Managers LLP

    FRN 491666

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (26 Jul 2019 to 8 Dec 2019)
    • CF4 Partner (20 Apr 2009 to 8 Dec 2019)
    • CF30 Customer (20 Apr 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (20 Apr 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 Apr 2009 to 30 Sep 2018)
  • Charterhouse Independent Financial Advisors LLP (no longer approved here)

    FRN 453778

    • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
    • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
    • CF4 Partner (1 Nov 2006 to 30 Jun 2011)
    • CF24 Pension Transfer Specialist (1 Nov 2006 to 31 Oct 2007)

Recent activity

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

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