Benjamin James Klein

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.

  • Tideway Investment Partners LLP

    FRN 496214

    • 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
    • CF30 Customer (since 16 Jul 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF30 Customer (23 Feb 2016 to 8 Dec 2019)
  • Tideway Wealth Management Ltd

    FRN 839678

    • Employed By (since 16 Jul 2021)
  • OCM WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 418826

    • CF30 Customer (18 Jun 2015 to 11 Dec 2015)
  • Dart Capital Limited (no longer approved here)

    FRN 137569

    • CF30 Customer (25 May 2009 to 5 Mar 2015)
  • Lanner Capital Limited (no longer approved here)

    FRN 467847

    • CF30 Customer (5 Nov 2008 to 18 Mar 2009)

Recent activity

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

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