Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FRASER SPY FINANCIAL SERVICES LIMITED
FRN 170969
- 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] Client dealing (since 6 Feb 2024)
- [FCA CF] Functions requiring qualifications (since 6 Feb 2024)
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- [FCA CF] Functions requiring qualifications (1 Dec 2020 to 22 Sep 2021)
- [FCA CF] Client dealing (1 Dec 2020 to 22 Sep 2021)
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- CF30 Customer (11 Aug 2018 to 8 Dec 2019)
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- CF30 Customer (10 Jul 2017 to 29 Jun 2018)
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- CF30 Customer (2 Nov 2016 to 1 Jun 2017)
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- CF30 Customer (1 Nov 2007 to 1 Jun 2017)
- CF21 Investment Adviser (2 Nov 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (16 May 2003 to 11 Sep 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.