Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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J.M. FINN & CO.LTD
FRN 450754
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
- [FCA CF] Client dealing (since 1 Jan 2021)
- CF30 Customer (3 Jun 2010 to 8 Dec 2019)
- CF21 Investment Adviser (18 Dec 2006 to 19 Jan 2007)
- CF22 Investment Adviser (Trainee) (30 Jun 2006 to 18 Dec 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.