Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Ascot Lloyd Limited
FRN 578614
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 24 Mar 2021)
- [FCA CF] Client dealing (since 24 Mar 2021)
- CF30 Customer (13 May 2014 to 8 Dec 2019)
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- Employed By (4 Oct 2013 to 11 Apr 2014)
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- CF30 Customer (3 Apr 2013 to 11 Apr 2014)
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- Employed By (3 Apr 2013 to 8 Dec 2019)
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- CF30 Customer (4 Jan 2011 to 31 Mar 2013)
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- CF30 Customer (1 Nov 2007 to 21 Apr 2008)
- CF21 Investment Adviser (24 Jul 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (24 Nov 2006 to 24 Jul 2007)
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- CF21 Investment Adviser (4 Nov 2005 to 2 May 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.