Dominique Naomi Harris

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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 11 Sep 2025)
    • [FCA CF] Functions requiring qualifications (since 11 Sep 2025)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (2 Oct 2023 to 8 Aug 2025)
    • [FCA CF] Functions requiring qualifications (2 Oct 2023 to 8 Aug 2025)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • Appointed representative dealing with clients for which they require qualification (31 Oct 2022 to 6 Sep 2023)
    • CF30 Customer (18 Oct 2022 to 6 Sep 2023)
  • Compass Financial (UK) Limited (no longer approved here)

    FRN 616200

    • Employed By (18 Oct 2022 to 6 Sep 2023)
  • WPS ADVISORY Ltd (no longer approved here)

    FRN 624546

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Feb 2022)
    • CF30 Customer (30 Oct 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.