Susannah Margaret Moseley-Gray

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.

  • 42 Wealth Management Ltd

    FRN 732318

    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 13. Giving personal recommendations on and dealing with derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Oct 2020)
    • Responsible for Insurance Mediation (12 Jul 2016 to 30 Sep 2018)
    • CF1 Director (12 Jul 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Jul 2016 to 8 Dec 2019)
    • CF30 Customer (12 Jul 2016 to 8 Dec 2019)
  • Sorbus Partners LLP (no longer approved here)

    FRN 588466

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 May 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 May 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Sep 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Sep 2022)
    • SMF27 Partner (9 Dec 2019 to 4 Jan 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 May 2024)
    • CF10 Compliance Oversight (28 Sep 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (18 Feb 2015 to 8 Dec 2019)
    • CF4 Partner (18 Feb 2015 to 8 Dec 2019)
  • SALTUS WEALTH PARTNERSHIP LIMITED (no longer approved here)

    FRN 449607

    • CF30 Customer (29 May 2015 to 21 Jul 2016)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF1 Director (AR) (14 Jul 2006 to 31 Aug 2007)
    • CF21 Investment Adviser (14 Jul 2006 to 31 Aug 2007)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (19 Nov 2003 to 23 Mar 2005)
  • Lighthouse (Leicester & Rutland) (no longer approved here)

    FRN 219175

    • (5)Employed By (19 Nov 2003 to 23 Mar 2005)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (29 Jul 2002 to 12 Nov 2003)

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

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