Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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INDEPENDENT ADVICE LTD
FRN 524535
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 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
- [FCA CF] Functions requiring qualifications (since 7 Feb 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 15 Sep 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Sep 2023)
- CF1 Director (8 Feb 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.