Emma Catherine Farmer

Last updated
3 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] Functions requiring qualifications (since 30 Dec 2020)
    • [FCA CF] Client dealing (since 30 Dec 2020)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • [FCA CF] Client dealing (1 Jan 2021 to 21 Jan 2021)
    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 21 Jan 2021)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (1 Aug 2012 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 15 Jul 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (24 May 2002 to 30 Nov 2005)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 24 May 2002)

Recent activity

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

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