Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Parallel Lines - The Advisor Collective Ltd
FRN 967228
- 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)
- Responsible for Insurance Distribution (since 7 Jan 2023)
- [FCA CF] Functions requiring qualifications (since 2 Aug 2022)
- [FCA CF] Client dealing (since 2 Aug 2022)
- Appointed representative dealing with clients for which they require qualification (since 2 Aug 2022)
- CF30 Customer (since 29 Jul 2022)
- CF1 Director (AR) (since 29 Jul 2022)
- SMF16 Compliance Oversight (since 4 Jul 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Jul 2022)
- SMF3 Executive Director (since 4 Jul 2022)
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Talking Finances
FRN 623968
- Employed By (since 17 Jun 2014)
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- CF30 Customer (24 Nov 2011 to 14 Jul 2014)
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- Employed By (4 Aug 2009 to 7 Jun 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.