Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Mercer Limited
FRN 121935
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (5 Apr 2019 to 8 Dec 2019)
-
- CF30 Customer (15 Jun 2018 to 8 Dec 2019)
-
- CF1 Director (AR) (11 Jul 2017 to 25 May 2018)
- CF30 Customer (11 Jul 2017 to 25 May 2018)
-
- (8)Employed By (30 Sep 2016 to 5 Sep 2017)
-
- CF30 Customer (30 Sep 2016 to 5 Sep 2017)
-
- (20)Employed By (28 Feb 2012 to 8 Jul 2016)
-
- CF30 Customer (3 Nov 2011 to 8 Jul 2016)
-
- Employed By (3 Nov 2011 to 8 Dec 2019)
-
- CF30 Customer (26 Nov 2010 to 26 Sep 2011)
-
- CF21 Investment Adviser (1 Dec 2001 to 5 Nov 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.