Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Prism Financial Products LLP
FRN 607481
- SMF9 Chair of the Governing Body (since 30 Apr 2024)
- CF3 Chief Executive (AR) (since 15 Nov 2023)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- CF4 Partner (AR) (since 5 Jul 2017)
- CF30 Customer (since 24 Jan 2014)
- CF4 Partner (24 Jan 2014 to 8 Dec 2019)
- CF3 Chief Executive (24 Jan 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (24 Jan 2014 to 23 Jun 2017)
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Prism Financial Products LP
FRN 782608
- (6)Employed By (since 29 Jun 2017)
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- CF4 Partner (AR) (20 Sep 2013 to 23 Jan 2014)
- CF30 Customer (20 Sep 2013 to 8 May 2015)
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- CF30 Customer (25 Aug 2010 to 24 Aug 2012)
- CF21 Investment Adviser (28 Oct 2002 to 29 Mar 2006)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Jul 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.