Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Legal & General Financial Advice Ltd
FRN 839860
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Nov 2022)
- [FCA CF] Client dealing (9 Nov 2022 to 10 Nov 2022)
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- [FCA CF] Functions requiring qualifications (12 Aug 2021 to 25 Mar 2022)
- [FCA CF] Client dealing (12 Aug 2021 to 25 Mar 2022)
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- [FCA CF] Client dealing (13 Jan 2020 to 21 Jan 2021)
- [FCA CF] Functions requiring qualifications (13 Jan 2020 to 21 Jan 2021)
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- [FCA CF] Functions requiring qualifications (11 Nov 2019 to 21 Jan 2021)
- [FCA CF] Client dealing (11 Nov 2019 to 21 Jan 2021)
- CF30 Customer (14 Apr 2016 to 9 Dec 2018)
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- CF30 Customer (1 Nov 2007 to 6 Jul 2012)
- CF21 Investment Adviser (16 Sep 2003 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (13 Jan 2003 to 16 Sep 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.