Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Openwork Limited
FRN 408285
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 22 Jun 2020)
- CF30 Customer (since 18 Jun 2020)
- CF30 Customer (1 Nov 2007 to 30 Dec 2012)
- CF22 Investment Adviser (Trainee) (25 Jan 2007 to 31 Oct 2007)
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SM Financial Advice Ltd
FRN 798521
- (1)Employed By (since 18 Jun 2020)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Jul 2020)
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- CF30 Customer (9 May 2016 to 31 Jan 2018)
- CF4 Partner (AR) (9 May 2016 to 31 Jan 2018)
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- CF30 Customer (25 Mar 2013 to 1 Jun 2016)
- CF4 Partner (AR) (25 Mar 2013 to 1 Jun 2016)
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- (3)Employed By (25 Mar 2013 to 31 Jan 2018)
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- (2)Employed By (17 Jan 2007 to 30 Dec 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.