Faisal Shafaat Khan

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

    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 6 Jun 2022)
    • [FCA CF] Client dealing (since 6 Jun 2022)
    • [FCA CF] Functions requiring qualifications (17 Feb 2020 to 10 Aug 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (22 Nov 2021 to 20 May 2022)
    • CF30 Customer (19 Nov 2021 to 20 May 2022)
  • Specialist Trust Solutions LLP (no longer approved here)

    FRN 401684

    • (20)Employed By (19 Nov 2021 to 20 May 2022)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Manager of certification employee (30 Apr 2018 to 30 Mar 2020)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 29 Apr 2018)
    • CF30 Customer (2 Nov 2010 to 6 Mar 2016)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (10 Dec 2007 to 29 Jun 2009)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 23 Nov 2007)
    • CF21 Investment Adviser (14 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Apr 2006 to 14 Jul 2006)

Recent activity

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

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