Thomas Mark Malloch

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.

  • MAUNBY INVESTMENT MANAGEMENT LIMITED

    FRN 114428

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Jul 2024)
    • [FCA CF] Client dealing (since 31 Jul 2024)
  • WealthTek LLP (no longer approved here)

    FRN 832264

    • [FCA CF] Client dealing (19 Feb 2020 to 6 Apr 2023)
    • [FCA CF] Functions requiring qualifications (19 Feb 2020 to 6 Apr 2023)
  • Sapia Partners LLP (no longer approved here)

    FRN 550103

    • CF1 Director (AR) (14 Sep 2018 to 24 Feb 2020)
    • CF30 Customer (25 Jun 2016 to 24 Feb 2020)
  • Redmayne-Bentley LLP (no longer approved here)

    FRN 499510

    • CF30 Customer (1 Oct 2009 to 20 Apr 2015)

Recent activity

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

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