Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Expert Financial Solutions Ltd
FRN 401295
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- 9A. Advising on P2P agreements
- [FCA CF] Significant management (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF10 Compliance Oversight (8 Oct 2004 to 29 Apr 2005)
- CF11 Money Laundering Reporting (8 Oct 2004 to 29 Apr 2005)
- CF24 Pension Transfer Specialist (8 Oct 2004 to 31 Oct 2007)
- CF21 Investment Adviser (8 Oct 2004 to 31 Oct 2007)
- CF8 Apportionment and Oversight (8 Oct 2004 to 31 Mar 2009)
- CF1 Director (8 Oct 2004 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.