Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Independent Investment Associates Limited
FRN 212923
- 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)
- SMF3 Executive Director (since 1 Jun 2025)
- [FCA CF] Client dealing (since 6 Apr 2022)
- [FCA CF] Functions requiring qualifications (since 6 Apr 2022)
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- [FCA CF] Functions requiring qualifications (17 Aug 2020 to 11 Mar 2022)
- [FCA CF] Client dealing (17 Aug 2020 to 11 Mar 2022)
- CF30 Customer (6 Nov 2018 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 20 Sep 2018)
- CF21 Investment Adviser (30 Jan 2006 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.