Lisa Clifford

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.

  • Ascot Lloyd Limited

    FRN 578614

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
  • Whitechurch Securities Limited (no longer approved here)

    FRN 114318

    • [FCA CF] Client dealing (15 Aug 2022 to 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (28 Jun 2021 to 1 Jul 2025)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 11 Apr 2021)
    • CF30 Customer (30 Jan 2019 to 11 Apr 2021)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (578)Employed By (30 Jan 2019 to 11 Apr 2021)
  • Broomfield & Alexander Wealth Management Ltd (no longer approved here)

    FRN 574362

    • Employed By (6 Jun 2018 to 3 Jun 2019)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (4 Sep 2017 to 17 Sep 2018)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (12 Apr 2016 to 11 Jul 2017)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (1 Nov 2007 to 8 Mar 2016)
    • CF22 Investment Adviser (Trainee) (6 Jul 2007 to 31 Oct 2007)

Recent activity

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

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