Adam John Craig Jeffrey

Last updated
2 weeks ago
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Where they hold approval

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

  • Axiom Financial Services Ltd

    FRN 455338

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (2 Oct 2006 to 31 Oct 2007)
    • CF1 Director (2 Oct 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Oct 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Oct 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
    • Responsible for Insurance Mediation (2 Oct 2006 to 30 Sep 2018)
  • Axiom Financial Services (no longer approved here)

    FRN 430558

    • Employed By (6 Dec 2005 to 22 Dec 2006)
  • Thames Independent Financial Services Ltd (no longer approved here)

    FRN 401122

    • (5)Employed By (8 Dec 2004 to 8 Dec 2019)

Recent activity

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

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