Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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IM ASSET MANAGEMENT LIMITED
FRN 402770
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 5 Jan 2026)
- [FCA CF] Client dealing (since 5 Jan 2026)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Jan 2022)
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- (8)Employed By (26 Jul 2022 to 5 Jan 2026)
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- Appointed representative dealing with clients for which they require qualification (17 Feb 2022 to 5 Jan 2026)
- CF30 Customer (16 Feb 2022 to 5 Jan 2026)
- [FCA CF] Functions requiring qualifications (7 Feb 2022 to 5 Jan 2026)
- [FCA CF] Client dealing (7 Feb 2022 to 5 Jan 2026)
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- (5)Employed By (17 Feb 2022 to 5 Jan 2026)
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- Employed By (17 Feb 2022 to 5 Jan 2026)
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- Employed By (17 Feb 2022 to 5 Jan 2026)
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- (2)Employed By (17 Feb 2022 to 5 Jan 2026)
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- Employed By (16 Feb 2022 to 5 Jan 2026)
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- (3)Employed By (16 Feb 2022 to 5 Jan 2026)
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- Employed By (16 Feb 2022 to 5 Jan 2026)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Ralli Financial Services Limited
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controlled function added: (2)Employed By at Ralli Financial Services Limited
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controlled function removed: Employed By at Frenkel Topping Associates Limited
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controlled function added: (5)Employed By at Frenkel Topping Associates Limited
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controlled function removed: Employed By at Forte Wealth Management Limited
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controlled function added: (8)Employed By at Forte Wealth Management Limited
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controlled function removed: Employed By at Aspire + Wealth Management Limited
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controlled function added: (3)Employed By at Aspire + Wealth Management Limited