Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Pool House Professional Advisers Limited
FRN 303560
- 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)
- SMF3 Executive Director (since 21 Jan 2021)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (10 Dec 2014 to 8 Dec 2019)
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DRB ASSOCIATES LIMITED
FRN 445657
- 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)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF1 Director (14 Jun 2012 to 8 Dec 2019)
- CF30 Customer (5 May 2010 to 8 Dec 2019)
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- Employed By (13 Jan 2012 to 6 Jan 2017)
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- CF30 Customer (26 Jan 2009 to 23 Oct 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.