Catherine Lyn Ball

Last updated
6 days ago
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Where they hold approval

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

  • Red IFA (Nottingham) Limited

    FRN 933688

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
    • [FCA CF] Client dealing (since 1 Apr 2021)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (25 Jan 2011 to 31 Dec 2012)
    • CF30 Customer (25 Jan 2011 to 31 Dec 2012)
  • Foxbridge Independent Financial Solutions Limited (no longer approved here)

    FRN 456481

    • CF30 Customer (1 Nov 2007 to 13 Dec 2010)
    • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (14 Feb 2006 to 31 Oct 2006)
    • CF22 Investment Adviser (Trainee) (10 Nov 2005 to 14 Feb 2006)

Recent activity

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

No changes recorded yet.