Katherine Waller

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.

  • ValidPath Limited

    FRN 197107

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 22 Nov 2023)
    • CF1 Director (AR) (since 4 Oct 2023)
    • CF30 Customer (since 4 Oct 2023)
  • Six Degrees Wealth Limited

    FRN 1002344

    • (3)Employed By (since 4 Oct 2023)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • [FCA CF] Client dealing (10 Dec 2019 to 1 Aug 2023)
    • [FCA CF] Functions requiring qualifications (10 Dec 2019 to 1 Aug 2023)
    • [FCA CF] Manager of certification employee (1 Nov 2019 to 1 Aug 2023)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • CF30 Customer (1 Nov 2007 to 17 Sep 2008)
    • CF27 Investment Management (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.