Susan Marie Puddephatt

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.

  • Succession Financial Management Limited (no longer approved here)

    FRN 225831

    • SMF4 Chief Risk (3 May 2024 to 31 Mar 2026)
    • Responsibility for MCD Intermediation (3 May 2024 to 31 Mar 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Mar 2020)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2026)
    • CF1 Director (15 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Feb 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (15 Feb 2019 to 31 Mar 2026)
  • SUCCESSION WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 588378

    • Responsibility for MCD Intermediation (3 May 2024 to 31 Mar 2026)
    • SMF4 Chief Risk (3 May 2024 to 31 Mar 2026)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2026)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Mar 2020)
    • CF1 Director (15 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Feb 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (15 Feb 2019 to 31 Mar 2026)
  • Succession Employee Benefit Solutions Limited (no longer approved here)

    FRN 767956

    • SMF4 Chief Risk (3 May 2024 to 31 Mar 2026)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Mar 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2026)
    • CF1 Director (15 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Feb 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (15 Feb 2019 to 31 Mar 2026)
  • Succession Advisory Services Limited (no longer approved here)

    FRN 510054

    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Apr 2020)
    • SMF3 Executive Director (9 Dec 2019 to 11 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Mar 2020)
    • CF1 Director (15 Feb 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Feb 2019 to 8 Dec 2019)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • CF11 Money Laundering Reporting (24 May 2018 to 4 Jan 2019)
    • CF29 Significant management (24 May 2018 to 4 Jan 2019)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • CF29 Significant management (24 May 2018 to 4 Jan 2019)
    • CF11 Money Laundering Reporting (24 May 2018 to 4 Jan 2019)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF29 Significant management (24 May 2018 to 4 Jan 2019)
    • CF11 Money Laundering Reporting (24 May 2018 to 4 Jan 2019)
  • TILNEY DISCRETIONARY PORTFOLIO MANAGEMENT LIMITED (no longer approved here)

    FRN 142989

    • CF29 Significant management (24 May 2018 to 4 Jan 2019)
    • CF11 Money Laundering Reporting (24 May 2018 to 4 Jan 2019)
  • Evelyn Partners Discretionary Investment Management Limited (no longer approved here)

    FRN 147103

    • CF11 Money Laundering Reporting (24 May 2018 to 4 Jan 2019)
    • CF29 Significant management (24 May 2018 to 4 Jan 2019)
  • Evelyn Partners Investment Management Services Limited (no longer approved here)

    FRN 165169

    • CF29 Significant management (24 May 2018 to 4 Jan 2019)
    • CF11 Money Laundering Reporting (24 May 2018 to 4 Jan 2019)
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Recent activity

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

  1. controlled function removed: SMF3 Executive Director at Lee Strathy Limited

  2. controlled function added: (27)SMF3 Executive Director at Lee Strathy Limited

  3. controlled function removed: SMF3 Executive Director at Flowers McEwan Limited

  4. controlled function added: (19)SMF3 Executive Director at Flowers McEwan Limited

  5. controlled function removed: SMF3 Executive Director at Navigator Financial Planning Limited

  6. controlled function removed: CF1 Director (AR) at Navigator Financial Planning Limited

  7. controlled function added: (91)SMF3 Executive Director at Navigator Financial Planning Limited

  8. controlled function added: (92)CF1 Director (AR) at Navigator Financial Planning Limited

  9. controlled function removed: SMF3 Executive Director at Law Society (NI) Financial Advice Limited

  10. controlled function added: (81)SMF3 Executive Director at Law Society (NI) Financial Advice Limited