Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Connor Broadley Ltd
FRN 468321
- 11. Pension transfer specialist
- 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] Manager of certification employee (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 17 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Dec 2019)
- CF3 Chief Executive (5 Dec 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (26 Sep 2014 to 24 Jun 2015)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (2 Jul 2007 to 8 Dec 2019)
- CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (2 Jul 2007 to 31 Oct 2007)
- CF10 Compliance Oversight (2 Jul 2007 to 1 Jul 2013)
- CF8 Apportionment and Oversight (2 Jul 2007 to 31 Mar 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.