Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 22 Nov 2022)
- CF1 Director (AR) (since 9 Nov 2022)
- CF30 Customer (since 9 Nov 2022)
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Compass Financial Solutions Ltd
FRN 230677
- Employed By (since 9 Nov 2022)
- Employed By (8 Jan 2004 to 31 May 2005)
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- CF30 Customer (22 Feb 2021 to 9 Aug 2022)
- [FCA CF] Client dealing (30 Dec 2020 to 9 Aug 2022)
- Appointed representative dealing with clients for which they require qualification (30 Dec 2020 to 9 Aug 2022)
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- (22)Employed By (22 Feb 2021 to 9 Aug 2022)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Dec 2020)
- CF30 Customer (1 Nov 2007 to 13 Jun 2012)
- CF21 Investment Adviser (11 Sep 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (19 Jun 2006 to 11 Sep 2007)
- CF1 Director (AR) (14 Mar 2006 to 17 Dec 2020)
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- (548)Employed By (13 Nov 2019 to 30 Dec 2020)
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- CF30 Customer (4 May 2012 to 24 Dec 2013)
- CF1 Director (AR) (14 Feb 2012 to 24 Dec 2013)
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- Employed By (14 Feb 2012 to 30 Dec 2020)
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- Employed By (28 May 2009 to 30 Dec 2020)
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- CF1 Director (AR) (29 May 2007 to 17 Dec 2020)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Taylored Advice Group Limited
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controlled function added: (22)Employed By at Taylored Advice Group Limited