Balvinder Singh Sohi

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.

  • BURLINGTON ASSOCIATES LIMITED

    FRN 439731

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (20 Dec 2010 to 8 Dec 2019)
  • Sinfonia Direct Ltd (no longer approved here)

    FRN 440606

    • Employed By (1 Nov 2005 to 20 Mar 2007)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (22 Sep 2004 to 20 Mar 2007)
    • CF22 Investment Adviser (Trainee) (2 Aug 2004 to 22 Sep 2004)
  • Capital Planning UK Ltd (no longer approved here)

    FRN 402461

    • Employed By (2 Aug 2004 to 8 Dec 2019)

Recent activity

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

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