Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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PFM Associates Limited
FRN 213724
- 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 18 Aug 2022)
- Appointed representative dealing with clients for which they require qualification (since 18 Aug 2022)
- CF1 Director (AR) (since 23 May 2022)
- CF30 Customer (since 23 May 2022)
- [FCA CF] Functions requiring qualifications (18 Aug 2022 to 24 Jun 2024)
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Ascent Financial Consulting Limited
FRN 976255
- (3)Employed By (since 8 Jun 2022)
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- CF21 Investment Adviser (30 Apr 2002 to 27 Apr 2007)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Ascent Financial Consulting Limited
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controlled function added: (3)Employed By at Ascent Financial Consulting Limited