Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Advies Private Clients LLP
FRN 937655
- 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 12 Apr 2021)
- [FCA CF] Functions requiring qualifications (since 12 Apr 2021)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Apr 2021)
- CF30 Customer (27 Jun 2013 to 9 Apr 2021)
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- Employed By (8 Nov 2013 to 9 Apr 2021)
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- CF30 Customer (7 Jun 2013 to 27 Jun 2013)
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- CF30 Customer (1 Nov 2007 to 3 Jan 2013)
- CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
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- Employed By (19 Aug 2004 to 3 Jan 2013)
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- (1)Employed By (1 Dec 2001 to 19 Aug 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.