Karen Harvey

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.

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 5 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (25 Jul 2013 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (16 Nov 2010 to 31 Aug 2011)
    • CF21 Investment Adviser (18 May 2005 to 18 Nov 2005)
    • CF22 Investment Adviser (Trainee) (28 Feb 2005 to 18 May 2005)

Recent activity

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

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