Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Weston-Cummins Limited
FRN 147608
- 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 5 Jul 2023)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (9 Dec 2019 to 31 Aug 2023)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.