Trevor John Downing

Last updated
3 weeks ago
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Where they hold approval

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

  • Trevor Downing Financial Management (IFA) Limited

    FRN 118176

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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] CASS oversight function (since 9 Dec 2021)
    • [FCA CF] Client dealing (since 9 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2021)
    • [FCA CF] Significant management (since 9 Dec 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (10 Jun 2010 to 29 Jun 2011)
    • Responsible for Insurance Mediation (10 Jun 2010 to 30 Sep 2018)
    • CF10 Compliance Oversight (10 Jun 2010 to 8 Dec 2019)
    • CF1 Director (7 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (7 Nov 2007 to 27 Jan 2009)
    • CF11 Money Laundering Reporting (7 Nov 2007 to 27 Jan 2009)
  • Stow Wealth Management Ltd (no longer approved here)

    FRN 468416

    • (8)Employed By (13 Oct 2021 to 10 Dec 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2021)
    • CF1 Director (AR) (11 Sep 2018 to 25 Nov 2021)
    • CF4 Partner (AR) (20 Apr 2012 to 25 Nov 2021)
    • CF30 Customer (1 Nov 2007 to 10 Dec 2021)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 31 Jan 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • The Trevor Downing Practice LLP (no longer approved here)

    FRN 401788

    • (25)Employed By (1 Dec 2001 to 10 Dec 2021)

Recent activity

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

  1. controlled function removed: Employed By at Stow Wealth Management Ltd

  2. controlled function added: (8)Employed By at Stow Wealth Management Ltd