Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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BURLINGTON ASSOCIATES LIMITED
FRN 439731
- 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] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 9 Jan 2019)
- Responsibility for MCD Intermediation (since 7 Dec 2018)
- CF1 Director (1 Oct 2017 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF22 Investment Adviser (Trainee) (1 Aug 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (22 Feb 2007 to 3 Aug 2007)
- CF22 Investment Adviser (Trainee) (19 Jan 2006 to 22 Feb 2007)
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- Employed By (18 Nov 2003 to 16 Apr 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.