Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 9 Dec 2014)
- CF30 Customer (since 20 Aug 2013)
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Andrew Cumming Wealth Management Ltd
FRN 656535
- (1)Employed By (since 17 Dec 2014)
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- (1)Employed By (20 Aug 2013 to 7 Jan 2015)
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- CF30 Customer (9 Jul 2013 to 9 Jul 2013)
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- CF30 Customer (3 Sep 2010 to 17 May 2013)
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- CF30 Customer (30 Jun 2009 to 16 Sep 2010)
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- CF22 Investment Adviser (Trainee) (3 Aug 2006 to 13 Jul 2007)
- CF21 Investment Adviser (12 Jun 2003 to 16 Jul 2004)
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- CF22 Investment Adviser (Trainee) (23 Jul 2004 to 18 Mar 2005)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Andrew Cumming Wealth Management Ltd
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controlled function added: (1)Employed By at Andrew Cumming Wealth Management Ltd