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
- 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
- 21. Advising or arranging (bringing about) equity release transactions
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 16 Feb 2018)
- CF30 Customer (since 16 Feb 2018)
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Orange Tree Financial Services Limited
FRN 801100
- (1)Employed By (since 9 Mar 2018)
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- CF30 Customer (18 Nov 2013 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 22 Sep 2016)
- CF26 Customer Trading (7 Mar 2003 to 31 Oct 2007)
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- CF27 Investment Management (1 Dec 2001 to 8 Jan 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.