Hena Mosby

Last updated
3 weeks ago
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Where they hold approval

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

  • RBC Europe Limited

    FRN 124543

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (20 Jun 2014 to 15 Feb 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (14 Oct 2010 to 8 Sep 2013)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 1 Sep 2008)
    • CF21 Investment Adviser (16 Jul 2004 to 13 Jun 2005)
    • CF22 Investment Adviser (Trainee) (6 Mar 2003 to 16 Jul 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (30 May 2006 to 18 Oct 2006)
    • CF22 Investment Adviser (Trainee) (30 Jun 2005 to 30 May 2006)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF22 Investment Adviser (Trainee) (6 Mar 2003 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF22 Investment Adviser (Trainee) (6 Mar 2003 to 3 Jun 2003)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

No changes recorded yet.