Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Coutts & Company
FRN 122287
- 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] Material risk taker (since 8 Jul 2016)
- [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (3 Dec 2002 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 Dec 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.