Maurizio Alfieri

Last updated
2 weeks ago
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Where they hold approval

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

  • INVICTA FINANCIAL SERVICES LIMITED

    FRN 587095

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • CF4 Partner (AR) (since 12 Feb 2024)
    • Responsibility for MCD Intermediation (since 5 Jan 2024)
    • SMF16 Compliance Oversight (since 5 Jan 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Mar 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 7 Jan 2014)
    • Responsible for Insurance Mediation (28 Feb 2014 to 30 Sep 2018)
    • CF1 Director (7 Jan 2014 to 8 Dec 2019)
  • Invicta Financial Planning LLP

    FRN 574907

    • (4)Employed By (since 14 Feb 2012)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (8 Oct 2008 to 13 Oct 2009)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 5 Sep 2008)
    • CF22 Investment Adviser (Trainee) (13 Apr 2007 to 31 Oct 2007)

Recent activity

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

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