Marc Buxton

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (11 Feb 2005 to 26 Jan 2006)
    • CF21 Investment Adviser (9 Sep 2004 to 11 Feb 2005)
  • Broomfield & Alexander Wealth Management Ltd (no longer approved here)

    FRN 574362

    • Employed By (22 Jan 2015 to 11 Mar 2019)
  • Bloomer Heaven Wealth Management Limited (no longer approved here)

    FRN 525254

    • Employed By (16 Jun 2010 to 8 Dec 2019)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (14 May 2002 to 27 Aug 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 14 May 2002)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (14 May 2002 to 27 Aug 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 14 May 2002)
  • Birmingham Midshires Financial Services Limited (no longer approved here)

    FRN 169484

    • Employed By (15 Jun 2001 to 27 Aug 2004)

Recent activity

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

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