Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Lathe & Co Wealth Advisers Ltd
FRN 838186
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 21. Advising or arranging (bringing about) equity release transactions
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Manager of certification employee (since 26 Sep 2024)
- CF1 Director (AR) (since 15 Nov 2023)
- Appointed representative dealing with clients for which they require qualification (since 19 Oct 2023)
- CF30 Customer (since 5 Feb 2021)
- [FCA CF] Client dealing (since 31 Dec 2019)
- [FCA CF] Functions requiring qualifications (31 Dec 2019 to 19 Oct 2023)
-
Financial Initiatives Limited
FRN 935269
- (5)Employed By (since 5 Feb 2021)
-
- (671)Employed By (15 Dec 2008 to 1 Jun 2017)
-
- CF30 Customer (14 May 2008 to 21 Jan 2021)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.