Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- 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] Functions requiring qualifications (since 14 Jun 2021)
- [FCA CF] Client dealing (since 14 Jun 2021)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 May 2021)
- CF30 Customer (20 Sep 2018 to 25 May 2021)
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- (4)Employed By (31 Jul 2019 to 25 May 2021)
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- CF30 Customer (1 Aug 2016 to 31 Aug 2018)
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- CF30 Customer (8 Oct 2014 to 6 Mar 2016)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.