Gaurav Gupta

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.

  • Coutts & Company

    FRN 122287

    • 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 13 Nov 2023)
    • [FCA CF] Functions requiring qualifications (20 Nov 2019 to 3 May 2023)
  • THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (no longer approved here)

    FRN 114724

    • [FCA CF] Functions requiring qualifications (13 Nov 2023 to 12 Aug 2024)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (7 Oct 2015 to 7 Sep 2018)

Recent activity

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

No changes recorded yet.