Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Norwood Financial Services
FRN 152710
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 16 Dec 2019)
- [FCA CF] Client dealing (since 16 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
- CF4 Partner (1 Dec 2001 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.