Harpal Singh Matharu

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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 2 May 2025)
    • [FCA CF] Client dealing (since 2 May 2025)
  • UHY Financial Planning Limited (no longer approved here)

    FRN 447764

    • [FCA CF] Functions requiring qualifications (1 Apr 2021 to 13 Jan 2025)
    • [FCA CF] Client dealing (1 Apr 2021 to 13 Jan 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (15 Jun 2016 to 3 Apr 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (7 May 2015 to 6 Mar 2016)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (12 Jul 2013 to 9 Jan 2015)

Recent activity

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

No changes recorded yet.