Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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PRACTICE FINANCIAL MANAGEMENT LIMITED
FRN 228837
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 5 Oct 2016)
- CF1 Director (12 Dec 2008 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF22 Investment Adviser (Trainee) (16 Feb 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (15 Jun 2005 to 2 Feb 2007)
- CF22 Investment Adviser (Trainee) (14 Jan 2005 to 15 Jun 2005)
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- CF22 Investment Adviser (Trainee) (23 Jun 2004 to 14 Jan 2005)
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- CF22 Investment Adviser (Trainee) (23 Jun 2004 to 14 Jan 2005)
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- CF22 Investment Adviser (Trainee) (24 Dec 2001 to 31 Jul 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.