Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Circle Financial Services Limited
FRN 148759
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- [FCA CF] Functions requiring qualifications (since 12 Jul 2023)
- [FCA CF] Client dealing (since 12 Jul 2023)
-
- Appointed representative dealing with clients for which they require qualification (7 Jul 2021 to 31 May 2023)
- CF30 Customer (6 Jul 2021 to 31 May 2023)
-
- Employed By (6 Jul 2021 to 31 May 2023)
-
- [FCA CF] Client dealing (9 Dec 2019 to 8 Mar 2021)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Mar 2021)
- CF30 Customer (18 Jan 2017 to 8 Dec 2019)
-
- CF30 Customer (16 Oct 2015 to 6 Mar 2016)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.