Thomas James Whittaker

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.

  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF28 Systems and controls (25 Feb 2013 to 31 Oct 2014)
  • M&G Investment Management Limited (no longer approved here)

    FRN 119328

    • CF28 Systems and controls (12 Jul 2011 to 2 Aug 2017)
  • Prudential Pensions Limited (no longer approved here)

    FRN 110434

    • CF10 Compliance Oversight (25 Mar 2009 to 2 Jul 2009)
    • CF28 Systems and controls (1 Nov 2007 to 31 Oct 2014)
    • CF15 Internal Audit (5 Jan 2007 to 31 Oct 2007)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF10 Compliance Oversight (25 Mar 2009 to 2 Jul 2009)
    • CF28 Systems and controls (1 Nov 2007 to 31 Oct 2014)
    • CF15 Internal Audit (5 Jan 2007 to 31 Oct 2007)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF10 Compliance Oversight (25 Mar 2009 to 2 Jul 2009)
    • CF28 Systems and controls (1 Nov 2007 to 31 Oct 2014)
    • CF15 Internal Audit (5 Jan 2007 to 31 Oct 2007)
  • Prudential Lifetime Mortgages Limited (no longer approved here)

    FRN 119350

    • CF28 Systems and controls (1 Nov 2007 to 31 Oct 2014)
    • CF15 Internal Audit (5 Jan 2007 to 31 Oct 2007)
  • Vitality Health Limited (no longer approved here)

    FRN 400057

    • CF28 Systems and controls (1 Nov 2007 to 30 Jun 2012)
    • CF15 Internal Audit (5 Jan 2007 to 31 Oct 2007)
  • Vitality Corporate Services Limited (no longer approved here)

    FRN 461107

    • CF28 Systems and controls (1 Nov 2007 to 30 Jun 2012)
    • CF15 Internal Audit (29 Mar 2007 to 31 Oct 2007)
  • GALLAGHER SECURITIES UK LIMITED (no longer approved here)

    FRN 182008

    • CF15 Internal Audit (7 Nov 2005 to 31 Mar 2006)
  • Willis Limited (no longer approved here)

    FRN 310186

    • CF15 Internal Audit (14 Jan 2005 to 31 Mar 2006)

Recent activity

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

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