Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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D G S Independent Financial Advisers Limited
FRN 225814
- 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] Client dealing (since 19 Jul 2021)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF24 Pension Transfer Specialist (28 Feb 2007 to 31 Oct 2007)
- CF21 Investment Adviser (11 Oct 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (29 May 2006 to 12 Oct 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.