Aashish Vora

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • SPECIALIST PRIVATE WEALTH LIMITED

    FRN 441386

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (4 Jan 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (4 Jan 2006 to 31 Mar 2009)
    • CF21 Investment Adviser (4 Jan 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (4 Jan 2006 to 30 Sep 2018)
    • CF10 Compliance Oversight (4 Jan 2006 to 8 Dec 2019)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF21 Investment Adviser (26 Nov 2004 to 23 Dec 2005)
    • CF1 Director (AR) (26 Nov 2004 to 23 Dec 2005)
  • Tavistock Bray Ltd (no longer approved here)

    FRN 221657

    • Employed By (26 Nov 2004 to 23 Dec 2005)
  • Fisher Investments Europe Limited (no longer approved here)

    FRN 191609

    • CF21 Investment Adviser (1 Dec 2001 to 10 Jan 2003)

Recent activity

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

No changes recorded yet.