Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ASCOT LLOYD FINANCIAL PLANNING LIMITED
FRN 144519
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 25 Jun 2020)
- [FCA CF] Functions requiring qualifications (since 25 Jun 2020)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Jun 2020)
- [FCA CF] Client dealing (9 Dec 2019 to 16 Jun 2020)
- CF30 Customer (1 Feb 2018 to 8 Dec 2019)
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- CF30 Customer (3 Feb 2014 to 15 Dec 2017)
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- CF21 Investment Adviser (31 Jan 2005 to 22 Apr 2005)
- CF22 Investment Adviser (Trainee) (5 Dec 2003 to 31 Jan 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.