Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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IMPERIAL WEALTH ADVISORY LTD
FRN 815621
- 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 8 Sep 2023)
- [FCA CF] Client dealing (since 8 Sep 2023)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2023)
- CF30 Customer (19 Nov 2015 to 8 Dec 2019)
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- CF30 Customer (22 May 2014 to 3 Feb 2015)
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- CF30 Customer (1 Nov 2007 to 3 Jan 2012)
- CF22 Investment Adviser (Trainee) (27 Feb 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.