Harminder Singh Bains

• Brooks Macdonald Asset Management Limited

  FRN 184918

  • 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 8 Aug 2024)
• Chase de Vere Independent Financial Advisers limited (no longer approved here)

  FRN 137914

  • [FCA CF] Client dealing (16 May 2024 to 21 Jun 2024)
  • [FCA CF] Functions requiring qualifications (16 May 2024 to 21 Jun 2024)
• Radiant Financial Planning Limited (no longer approved here)

  FRN 192396

  • [FCA CF] Functions requiring qualifications (13 Nov 2020 to 28 Apr 2023)
  • [FCA CF] Client dealing (13 Nov 2020 to 28 Apr 2023)
• St. James's Place Wealth Management Plc (no longer approved here)

  FRN 195351

  • CF30 Customer (17 Sep 2018 to 20 Mar 2020)
• TenetConnect Limited (no longer approved here)

  FRN 149826

  • CF30 Customer (31 Oct 2016 to 6 Sep 2018)
• Uniec Prestige Ltd (no longer approved here)

  FRN 544324

  • Employed By (31 Oct 2016 to 6 Sep 2018)
• QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

  FRN 440703

  • CF30 Customer (20 Nov 2015 to 7 Oct 2016)
• EFG Private Bank Limited (no longer approved here)

  FRN 144036

  • CF30 Customer (25 Nov 2014 to 3 Dec 2015)

No changes recorded yet.