Anthony Leslie Moss

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • RAYMOND JAMES INVESTMENT SERVICES LIMITED

    FRN 194713

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 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
    • 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] Manager of certification employee (since 23 Aug 2021)
    • [FCA CF] Client dealing (since 1 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jun 2021)
  • ABERDEEN PORTFOLIO SOLUTIONS LIMITED (no longer approved here)

    FRN 623682

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Nov 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2020)
    • CF30 Customer (14 Jul 2014 to 8 Dec 2019)
    • CF1 Director (14 Jul 2014 to 7 Nov 2019)
    • CF10 Compliance Oversight (14 Jul 2014 to 20 Jun 2018)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)

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Updates to this individual's record on the FCA register.

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