Karl David Hartey

Last updated
2 weeks ago
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Where they hold approval

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

  • HARTEY WEALTH MANAGEMENT LIMITED

    FRN 593740

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (27 Jul 2016 to 8 Dec 2019)
    • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
  • Applewood Associates (no longer approved here)

    FRN 153612

    • (8)Employed By (1 Oct 1998 to 20 Apr 2004)

Recent activity

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

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