Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Clifton Financial Planning Limited
FRN 922187
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 1 Jun 2022)
- [FCA CF] Client dealing (since 1 Jun 2022)
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- [FCA CF] Client dealing (9 Dec 2019 to 31 May 2022)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2022)
- CF30 Customer (26 Jul 2019 to 8 Dec 2019)
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- CF30 Customer (10 May 2013 to 5 Mar 2018)
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- CF30 Customer (1 Nov 2007 to 11 Nov 2012)
- CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)
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- CF21 Investment Adviser (1 Dec 2001 to 18 Jan 2002)
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- CF21 Investment Adviser (1 Dec 2001 to 18 Jan 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.