Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 19 Jun 2023)
- [FCA CF] Functions requiring qualifications (since 19 Jun 2023)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.