Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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LEGAL & MEDICAL INVESTMENTS LIMITED
FRN 185193
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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 21 Jan 2025)
- [FCA CF] Client dealing (since 21 Jan 2025)
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- [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2024)
- CF30 Customer (16 Dec 2015 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 8 May 2012)
- 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.