Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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SPF Private Clients Limited
FRN 189213
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF10 Compliance Oversight (18 Sep 2003 to 2 Mar 2004)
- CF3 Chief Executive (1 Dec 2001 to 13 Mar 2003)
- CF8 Apportionment and Oversight (1 Dec 2001 to 13 Mar 2003)
- CF1 Director (1 Dec 2001 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.