Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 25 Jan 2023)
- [FCA CF] Client dealing (since 25 Jan 2023)
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- [FCA CF] Client dealing (9 Dec 2019 to 23 Sep 2022)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Sep 2022)
- CF30 Customer (15 Mar 2016 to 8 Dec 2019)
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- CF30 Customer (28 Oct 2014 to 9 Oct 2015)
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- CF30 Customer (3 Jul 2013 to 12 Oct 2014)
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- (495)Employed By (3 Jul 2013 to 12 Oct 2014)
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- CF30 Customer (1 Nov 2007 to 11 Nov 2012)
- CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.