Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Wealth Aspirations LLP
FRN 573420
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF10 Compliance Oversight (30 Jan 2013 to 8 Dec 2019)
- CF30 Customer (13 Dec 2012 to 8 Dec 2019)
- CF4 Partner (13 Dec 2012 to 8 Dec 2019)
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- CF30 Customer (1 Dec 2010 to 31 Dec 2012)
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- (700)Employed By (1 Dec 2010 to 31 Dec 2012)
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- (260)Employed By (12 Mar 2003 to 14 Apr 2003)
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- CF21 Investment Adviser (1 Dec 2001 to 18 Dec 2002)
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- CF21 Investment Adviser (1 Dec 2001 to 18 Dec 2002)
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- CF21 Investment Adviser (1 Dec 2001 to 18 Dec 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.