Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Argyll Independent Ltd
FRN 974264
- 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] Functions requiring qualifications (since 26 Sep 2022)
- SMF16 Compliance Oversight (since 26 Sep 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Sep 2022)
- SMF3 Executive Director (since 26 Sep 2022)
- [FCA CF] Client dealing (since 26 Sep 2022)
- Responsible for Insurance Distribution (since 26 Sep 2022)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 23 Sep 2022)
- CF30 Customer (1 Nov 2007 to 23 Sep 2022)
- CF7 Sole Trader (AR) (1 Dec 2001 to 31 Jan 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.