Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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WM Thomson & Sons
FRN 131596
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 17 May 2021)
- [FCA CF] Client dealing (since 17 May 2021)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 May 2021)
- [FCA CF] Client dealing (9 Dec 2019 to 10 May 2021)
- CF30 Customer (22 Feb 2018 to 8 Dec 2019)
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- CF30 Customer (24 Nov 2010 to 10 Nov 2017)
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- CF30 Customer (1 Nov 2007 to 26 Jun 2009)
- CF26 Customer Trading (30 Jul 2007 to 31 Oct 2007)
- CF21 Investment Adviser (30 Jul 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.