Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 11 Oct 2021)
-
Coutts & Company
FRN 122287
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- [FCA CF] Functions requiring qualifications (since 11 Oct 2021)
-
- [FCA CF] Functions requiring qualifications (5 Aug 2020 to 14 Feb 2021)
- [FCA CF] Client dealing (5 Aug 2020 to 14 Feb 2021)
- CF30 Customer (21 Jan 2019 to 8 Dec 2019)
-
- CF30 Customer (18 Sep 2008 to 24 Jan 2012)
-
- CF30 Customer (1 Nov 2007 to 18 Sep 2008)
- CF21 Investment Adviser (14 Sep 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (14 Apr 2005 to 14 Sep 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.