Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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New Leaf Distribution Limited
FRN 460421
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 16 Jun 2017)
- CF30 Customer (since 12 Aug 2014)
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Sterling Wealth Limited
FRN 789738
- (4)Employed By (since 19 Dec 2017)
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- (2)Employed By (9 Mar 2016 to 7 Mar 2017)
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- CF30 Customer (20 Aug 2009 to 30 Dec 2013)
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- Employed By (5 Oct 2005 to 28 Aug 2006)
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- CF21 Investment Adviser (4 May 2004 to 31 Oct 2004)
- CF22 Investment Adviser (Trainee) (26 Nov 2003 to 4 May 2004)
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- CF21 Investment Adviser (4 May 2004 to 28 Aug 2006)
- CF22 Investment Adviser (Trainee) (26 Nov 2003 to 4 May 2004)
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- Employed By (26 Nov 2003 to 5 Oct 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.