Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Broadgate Wealth Client Servicing LLP
FRN 815602
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 21 Oct 2021)
- [FCA CF] Functions requiring qualifications (since 21 Oct 2021)
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- [FCA CF] Functions requiring qualifications (3 Feb 2020 to 31 Aug 2021)
- [FCA CF] Client dealing (3 Feb 2020 to 31 Aug 2021)
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- CF21 Investment Adviser (26 Mar 2003 to 28 Mar 2007)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 26 Mar 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.