Gurjit Soggi

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF30 Customer (since 21 Jan 2025)
    • Appointed representative dealing with clients for which they require qualification (since 4 Nov 2024)
  • Gurjit Soggi

    FRN 1023699

    • (1)Employed By (since 21 Jan 2025)
  • Marlborough Investment Management Limited (no longer approved here)

    FRN 115231

    • [FCA CF] Significant management (2 Nov 2021 to 14 Jul 2022)
    • [FCA CF] Material risk taker (2 Nov 2021 to 9 Jun 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jun 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Jun 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • INVESTMENT FUND SERVICES LIMITED (no longer approved here)

    FRN 464193

    • CF30 Customer (17 Jun 2013 to 8 Dec 2019)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.