Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Halliday Financial Guidance Limited
FRN 844345
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 4. Giving personal recommendations on retail investment products which are not broker funds
- SMF16 Compliance Oversight (since 11 Nov 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Nov 2025)
- SMF3 Executive Director (since 3 Nov 2023)
- [FCA CF] Functions requiring qualifications (since 1 Apr 2020)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.