Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Pilling & Co Stockbrokers Ltd
FRN 652114
- 16. Safeguarding and administering investments or holding client money
- SMF16 Compliance Oversight (since 3 May 2024)
- [FCA CF] Functions requiring qualifications (since 12 Dec 2022)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] CASS oversight function (14 Aug 2023 to 15 May 2024)
- CF30 Customer (30 Apr 2015 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.