Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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The Exeter Practice Limited
FRN 451695
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- [FCA CF] Client dealing (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- SMF16 Compliance Oversight (9 Dec 2019 to 10 Mar 2021)
- CF28 Systems and controls (11 Jan 2016 to 8 Dec 2019)
- CF3 Chief Executive (11 Jan 2016 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (26 Jul 2007 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (2 May 2007 to 31 Oct 2007)
- Responsible for Insurance Mediation (22 Feb 2007 to 30 Sep 2018)
- CF10 Compliance Oversight (1 Aug 2006 to 8 Dec 2019)
- CF21 Investment Adviser (1 Aug 2006 to 31 Oct 2007)
- CF1 Director (1 Aug 2006 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Aug 2006 to 12 Jun 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.