Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FINLI (SCOTLAND) LIMITED
FRN 402458
- 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)
- SMF3 Executive Director (since 9 Dec 2019)
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF1 Director (AR) (since 14 Aug 2013)
- CF30 Customer (since 1 Nov 2007)
- CF24 Pension Transfer Specialist (4 Jan 2005 to 31 Oct 2007)
- CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
- CF1 Director (4 Jan 2005 to 8 Dec 2019)
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FINLI (ORKNEY) LIMITED
FRN 605316
- (2)Employed By (since 14 Aug 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.