Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FBS-IFA LLP
FRN 499204
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [PRA CF] Key function holder (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (6 May 2009 to 30 Sep 2018)
- CF10 Compliance Oversight (6 May 2009 to 8 Dec 2019)
- CF30 Customer (6 May 2009 to 8 Dec 2019)
- CF4 Partner (6 May 2009 to 8 Dec 2019)
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W1 Financial Services Limited
FRN 526015
- 17. Administrative functions in relation to managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (11 Dec 2012 to 8 Dec 2019)
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- CF30 Customer (6 Feb 2008 to 2 Jun 2008)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.