Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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THROGMORTON PRIVATE CAPITAL LIMITED
FRN 431157
- 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)
- [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
- [FCA CF] Client dealing (since 19 Dec 2019)
- CF30 Customer (10 Apr 2019 to 8 Dec 2019)
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- CF30 Customer (25 Nov 2013 to 3 Nov 2017)
- CF1 Director (AR) (25 Nov 2013 to 3 Nov 2017)
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- CF30 Customer (1 Nov 2007 to 18 Oct 2013)
- CF21 Investment Adviser (15 May 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (24 Jan 2006 to 15 May 2006)
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- CF21 Investment Adviser (18 Sep 2002 to 5 Jan 2006)
- CF22 Investment Adviser (Trainee) (24 Jan 2002 to 18 Sep 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.