Mark Roy Norris

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Tees Financial Limited

    FRN 211314

    • 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] Client dealing (since 28 Sep 2023)
    • [FCA CF] Functions requiring qualifications (since 28 Sep 2023)
  • WREN STERLING FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 665653

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Aug 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 11 Aug 2023)
    • CF30 Customer (16 Mar 2015 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 31 Oct 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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