Daniel Bradley Ross

IRN: DBR01022•Active
Type
Approved Person
Known As
Dan
Total Roles
22
Active Roles
10

Current Roles (10)

FirmRoleSince
Hartley Ross LtdCPD20 - Advising or arranging regulated mortgage contracts02/11/2021
Hartley Ross LtdThe London Institute of Banking and Finance (LIBF) - formerly known as IFS02/11/2021
Hartley Ross LtdCPD6 - Personal recommendation on Friendly Soc tax-exempt policies(not Holloway)23/04/2021
Hartley Ross LtdCPD4 - Personal recommendation on retail investments (not broker funds)23/04/2021
Hartley Ross LtdSMF3 Executive Director08/09/2020
Hartley Ross LtdResponsibility for MCD Intermediation08/09/2020
Hartley Ross LtdResponsible for Insurance Distribution08/09/2020
Hartley Ross LtdSMF17 Money Laundering Reporting Officer (MLRO)08/09/2020
Hartley Ross Ltd[FCA CF] Client dealing09/12/2019
Hartley Ross Ltd[FCA CF] Functions requiring qualifications09/12/2019

Past Roles (12)

FirmRoleFromToStatus
Hartley Ross LtdThe Chartered Insurance Institute (CII)23/04/202102/11/2021Withdrawn
Hartley Ross Ltd[FCA CF] Manager of certification employee09/12/201914/05/2024Withdrawn
Hartley Ross - Financial Planning LLPSMF27 Partner09/12/201901/04/2021Withdrawn (Firm Cancellation)
Hartley Ross - Financial Planning LLPResponsible for Insurance Distribution01/10/201801/04/2021Withdrawn (Firm Cancellation)
Hartley Ross - Financial Planning LLPResponsible for Insurance Mediation11/11/201630/09/2018Converted
Hartley Ross - Financial Planning LLPCF10 Compliance Oversight11/11/201605/09/2017Withdrawn
Hartley Ross - Financial Planning LLPResponsibility for MCD Intermediation11/11/201601/04/2021Withdrawn (Firm Cancellation)
Hartley Ross - Financial Planning LLPCF30 Customer11/11/201608/12/2019Withdrawn
Hartley Ross - Financial Planning LLPCF4 Partner11/11/201608/12/2019Withdrawn
Hartley Ross - Financial Planning LLPCF11 Money Laundering Reporting11/11/201605/09/2017Withdrawn
True Potential Wealth Management LLPCF30 Customer29/08/201427/01/2017Withdrawn
Lloyds Bank PLCCF30 Customer17/12/200714/08/2014Withdrawn