Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Bexley Independent Financial Services
FRN 149161
- 11. Pension transfer specialist
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- [FCA CF] Benchmark submission and administration (since 9 Dec 2020)
- [FCA CF] Client dealing (since 9 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (15 Apr 2002 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.