Thomas William Ham

Last updated
6 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Calton Wealth Management Ltd

    FRN 958604

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 2 Dec 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Dec 2021)
    • SMF3 Executive Director (since 2 Dec 2021)
    • [FCA CF] Client dealing (since 2 Dec 2021)
    • Responsible for Insurance Distribution (since 2 Dec 2021)
    • SMF16 Compliance Oversight (since 2 Dec 2021)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • CF30 Customer (7 Jul 2014 to 29 May 2015)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (8 Oct 2013 to 14 Jul 2014)
  • Brian Webster (no longer approved here)

    FRN 593703

    • Employed By (8 Oct 2013 to 14 Jul 2014)

Recent activity

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

No changes recorded yet.