Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 2 Jan 2020)
- CF1 Director (AR) (since 20 Dec 2019)
- CF30 Customer (since 20 Dec 2019)
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Ebb and Flow Wealth Ltd
FRN 918231
- (1)Employed By (since 20 Dec 2019)
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- CF30 Customer (7 Nov 2016 to 31 Oct 2019)
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- CF30 Customer (1 Jun 2012 to 31 Aug 2016)
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- CF30 Customer (1 Nov 2007 to 3 Jul 2012)
- CF22 Investment Adviser (Trainee) (24 Aug 2007 to 31 Oct 2007)
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- Employed By (24 Aug 2007 to 3 Jul 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.