Michael Raymond

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.

  • Michael Raymond

    FRN 608375

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Sole trader dealing with clients for which they require qualification (since 11 Feb 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (9 Jan 2014 to 8 Dec 2019)
    • CF30 Customer (9 Jan 2014 to 8 Dec 2019)
  • W&T Limited (no longer approved here)

    FRN 439620

    • CF30 Customer (1 Nov 2007 to 13 Aug 2010)
    • CF24 Pension Transfer Specialist (10 Oct 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Oct 2006 to 31 Oct 2007)

Recent activity

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

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