Gervase Charles Clifton-Moore

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.

  • RADCLIFFE & CO (LIFE & PENSIONS) LIMITED

    FRN 125160

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Aug 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 Feb 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (6 Nov 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Apr 2003 to 6 Nov 2003)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 7 Mar 2003)

Recent activity

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

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