Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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EIS FINANCIAL SERVICES LIMITED
FRN 401581
- 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] Manager of certification employee (since 10 Jan 2022)
- [FCA CF] Functions requiring qualifications (since 15 Feb 2021)
- [FCA CF] Client dealing (since 28 Jan 2021)
- CF30 Customer (24 Jul 2017 to 8 Dec 2019)
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- CF30 Customer (11 Dec 2014 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 11 Nov 2012)
- CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (10 Feb 2004 to 2 Jul 2004)
- CF22 Investment Adviser (Trainee) (4 Feb 2003 to 10 Feb 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.