Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Dowgate Wealth Limited
FRN 926137
- 12. Giving personal recommendations on and dealing in 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
- 14. Managing investments
- SMF3 Executive Director (since 7 Dec 2021)
- [FCA CF] Functions requiring qualifications (since 7 Apr 2021)
- [FCA CF] Client dealing (since 7 Apr 2021)
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- [FCA CF] Functions requiring qualifications (27 Apr 2023 to 17 Nov 2023)
- [FCA CF] Client dealing (27 Apr 2023 to 17 Nov 2023)
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- CF30 Customer (18 Mar 2019 to 3 Dec 2019)
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- CF30 Customer (17 Sep 2014 to 8 Oct 2019)
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- CF30 Customer (20 May 2009 to 4 Sep 2014)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.