Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Johnston Financial Limited
FRN 131706
- 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] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 18 Jul 2018)
- Responsible for Insurance Mediation (18 Jul 2018 to 30 Sep 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF4 Partner (AR) (8 Feb 2007 to 5 Mar 2010)
- CF1 Director (AR) (5 May 2005 to 16 Jul 2018)
- CF1 Director (8 Mar 2002 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
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- Employed By (8 Feb 2007 to 8 Dec 2019)
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- Employed By (5 May 2005 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.