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
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 21. Advising or arranging (bringing about) equity release transactions
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (since 5 Jan 2011)
- CF30 Customer (1 Nov 2007 to 30 Dec 2009)
- CF21 Investment Adviser (9 Jan 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (3 Apr 2003 to 9 Jan 2004)
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DMJ Associates
FRN 468860
- (5)Employed By (since 5 Jan 2011)
- (22)Employed By (1 Jul 2007 to 30 Dec 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.