Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ADVISER BUSINESS SOLUTIONS LIMITED
FRN 190181
- 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)
- CF30 Customer (since 28 Jun 2021)
- Appointed representative dealing with clients for which they require qualification (since 12 May 2021)
- [FCA CF] Client dealing (since 12 May 2021)
- [FCA CF] Functions requiring qualifications (since 12 May 2021)
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DMJ Associates
FRN 468860
- (11)Employed By (since 28 Jun 2021)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Mar 2021)
- CF30 Customer (24 Jun 2019 to 8 Dec 2019)
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- CF30 Customer (30 Jan 2008 to 1 Apr 2014)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.