Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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COTSWOLD INDEPENDENT FINANCIAL SERVICES LTD
FRN 604634
- 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)
- [FCA CF] Functions requiring qualifications (since 21 Feb 2024)
- [FCA CF] Client dealing (since 21 Feb 2024)
- CF30 Customer (13 Nov 2013 to 21 Feb 2014)
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- Appointed representative dealing with clients for which they require qualification (10 Nov 2022 to 19 Jul 2023)
- CF30 Customer (24 Oct 2022 to 19 Jul 2023)
- CF1 Director (AR) (24 Oct 2022 to 13 Nov 2023)
- [FCA CF] Functions requiring qualifications (29 Jul 2022 to 10 Nov 2022)
- [FCA CF] Client dealing (29 Jul 2022 to 19 Jul 2023)
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- (1)Employed By (24 Oct 2022 to 13 Nov 2023)
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- [FCA CF] Client dealing (29 May 2020 to 1 Aug 2022)
- [FCA CF] Functions requiring qualifications (29 May 2020 to 1 Aug 2022)
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- CF30 Customer (1 Mar 2017 to 31 Oct 2017)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.