Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
SPF Private Clients Limited
FRN 189213
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (9 Dec 2019 to 14 Jul 2023)
- CF1 Director (1 Jun 2011 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (6 Oct 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (18 Nov 2003 to 6 Oct 2004)
- CF24 Pension Transfer Specialist (1 Sep 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.