Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rosemount Financial Solutions (IFA) Limited
FRN 535515
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 21. Advising or arranging (bringing about) equity release transactions
- Appointed representative dealing with clients for which they require qualification (since 4 Jan 2024)
- [FCA CF] Client dealing (since 23 Dec 2023)
- CF1 Director (AR) (since 28 Nov 2023)
- CF30 Customer (since 28 Nov 2023)
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Open Financial Advice Ltd
FRN 1004598
- (1)Employed By (since 28 Nov 2023)
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- [FCA CF] Functions requiring qualifications (2 Oct 2023 to 2 Jan 2024)
- [FCA CF] Client dealing (2 Oct 2023 to 2 Jan 2024)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.