Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
MM Wealth Ltd
FRN 148496
- 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] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Material risk taker (9 Dec 2019 to 29 Jun 2022)
- SMF3 Executive Director (9 Dec 2019 to 1 Feb 2023)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 3 Jun 2024)
- CF1 Director (14 Aug 2012 to 8 Dec 2019)
- CF30 Customer (14 Aug 2012 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.