Derek Shirley

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • True Potential Wealth Management LLP

    FRN 529810

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 24 Sep 2020)
    • [FCA CF] Client dealing (since 24 Sep 2020)
  • A.R.D. Consultancy Limited (no longer approved here)

    FRN 507921

    • CF30 Customer (1 Jul 2013 to 25 Jun 2014)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (10 Dec 2012 to 28 Jun 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 7 Aug 2002)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF21 Investment Adviser (1 Dec 2001 to 13 Aug 2007)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.