Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Y Tree Limited
FRN 967369
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Manager of certification employee (since 22 Mar 2024)
- [FCA CF] Client dealing (since 17 Jan 2023)
- [FCA CF] Functions requiring qualifications (since 17 Jan 2023)
-
- CF30 Customer (11 May 2022 to 11 Jan 2023)
-
- Appointed representative dealing with clients for which they require qualification (9 Dec 2020 to 16 Jan 2023)
- [FCA CF] Client dealing (9 Dec 2020 to 16 Jan 2023)
- CF30 Customer (23 Nov 2020 to 16 Jan 2023)
-
- Employed By (23 Nov 2020 to 16 Jan 2023)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.