Jeffrey Gorman

Last updated
1 week ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • M.B. SMITH & CO LTD

    FRN 789181

    • 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 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (18 Apr 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Apr 2018 to 8 Dec 2019)
    • CF30 Customer (18 Apr 2018 to 8 Dec 2019)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF30 Customer (5 Apr 2017 to 31 Jul 2017)
    • CF1 Director (AR) (5 Apr 2017 to 31 Jul 2017)
  • M B Smith & Co Ltd (no longer approved here)

    FRN 225411

    • (3)Employed By (12 Nov 2004 to 17 Apr 2018)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 4 Feb 2002)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.