Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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BROOM CONSULTANTS LIMITED
FRN 424217
- 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 5 Oct 2022)
- [FCA CF] Functions requiring qualifications (since 5 Oct 2022)
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- CF30 Customer (18 Jun 2021 to 14 Feb 2022)
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- Employed By (18 Jun 2021 to 14 Feb 2022)
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- CF30 Customer (1 Nov 2018 to 14 Feb 2019)
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- CF30 Customer (1 Nov 2007 to 8 Feb 2018)
- CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.