Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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AFH Independent Financial Services Limited
FRN 216704
- 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] Functions requiring qualifications (since 3 Oct 2025)
- [FCA CF] Client dealing (since 3 Oct 2025)
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DOBSON AND HODGE LIMITED
FRN 141933
- 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)
- 11. Pension transfer specialist
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (30 Mar 2021 to 12 Mar 2026)
- SMF3 Executive Director (9 Dec 2019 to 12 Mar 2026)
- CF30 Customer (17 May 2012 to 8 Dec 2019)
- CF1 Director (17 May 2012 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.