Brian Michael Rafferty

Last updated
2 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 16 Jul 2013)
    • CF30 Customer (since 16 Jul 2013)
  • Blythswood Associates Ltd

    FRN 603860

    • Employed By (since 16 Jul 2013)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (17 Jan 2011 to 20 Jun 2013)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (7 May 2008 to 15 Oct 2010)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (1 Nov 2007 to 6 Dec 2007)
    • CF22 Investment Adviser (Trainee) (15 Sep 2006 to 31 Oct 2007)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (19 Jul 2006 to 29 Sep 2006)
    • CF22 Investment Adviser (Trainee) (8 Jun 2005 to 19 Jul 2006)
  • McCormick Financial Consultancy Ltd (no longer approved here)

    FRN 214491

    • Employed By (8 Jun 2005 to 29 Sep 2006)

Recent activity

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

No changes recorded yet.