Stuart Martin Bratt

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.

  • PIONEER WEALTH MANAGEMENT LTD

    FRN 562516

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (3 Jan 2012 to 30 Sep 2018)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2012 to 8 Dec 2019)
    • CF1 Director (3 Jan 2012 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (16 Aug 2011 to 28 Dec 2011)
  • Succession Financial Management Limited (no longer approved here)

    FRN 225831

    • CF30 Customer (1 Nov 2007 to 31 Aug 2011)
    • CF21 Investment Adviser (1 Dec 2003 to 31 Oct 2007)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (19 Jun 2003 to 23 Oct 2003)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (645)Employed By (19 Jun 2003 to 23 Oct 2003)

Recent activity

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

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