Gary John Puffett

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • First Service Financial Limited

    FRN 479175

    • 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 1 Sep 2020)
    • [FCA CF] Client dealing (since 1 Sep 2020)
  • Moore & York Financial Services Ltd (no longer approved here)

    FRN 215062

    • (13)Employed By (1 Oct 2013 to 17 Nov 2014)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (21 Jun 2013 to 24 Sep 2013)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 31 May 2013)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (23 Jan 2009 to 16 Sep 2010)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (11 Apr 2008 to 15 Feb 2009)
    • CF21 Investment Adviser (22 Nov 2006 to 30 Sep 2007)
    • CF22 Investment Adviser (Trainee) (2 Jun 2006 to 22 Nov 2006)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (14 Dec 2005 to 26 May 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2005)

Recent activity

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

No changes recorded yet.