Judith Anne Mercer

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • WM Thomson & Sons

    FRN 131596

    • 14. 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 31 Dec 2019)
    • [FCA CF] Client dealing (since 31 Dec 2019)
    • CF30 Customer (6 Jan 2011 to 8 Dec 2019)
  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • CF30 Customer (2 Jan 2009 to 17 Dec 2009)
  • Santander Asset Management UK Limited (no longer approved here)

    FRN 122491

    • CF27 Investment Management (1 Dec 2001 to 22 Jan 2004)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.