Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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INDEX FINANCIAL SERVICES LIMITED
FRN 222570
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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 4 Dec 2023)
- [FCA CF] Functions requiring qualifications (since 4 Dec 2023)
- CF22 Investment Adviser (Trainee) (2 Nov 2004 to 10 Feb 2005)
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- [FCA CF] Functions requiring qualifications (19 Dec 2019 to 1 Nov 2023)
- [FCA CF] Client dealing (19 Dec 2019 to 1 Nov 2023)
- CF30 Customer (21 Feb 2011 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.