Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SPF Private Clients Limited
FRN 189213
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Significant management (since 17 Feb 2026)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (10 Feb 2023 to 31 Dec 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (1 Aug 2006 to 2 Apr 2007)
- CF24 Pension Transfer Specialist (12 Sep 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.