Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Wieldmore Investment Management Limited
FRN 917602
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- SMF16 Compliance Oversight (since 30 Apr 2024)
- [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2020)
- SMF3 Executive Director (since 1 Oct 2020)
- [FCA CF] Client dealing (since 1 Oct 2020)
-
- CF30 Customer (3 Aug 2010 to 6 Mar 2016)
-
- CF30 Customer (1 Nov 2007 to 31 Mar 2010)
- CF21 Investment Adviser (24 Aug 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.