Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- 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 13 Feb 2023)
- [FCA CF] Client dealing (since 13 Feb 2023)
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- [FCA CF] Client dealing (9 Dec 2019 to 12 Aug 2022)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Aug 2022)
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- CF30 Customer (20 Jun 2013 to 20 May 2016)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.