Natalie Suzanne Cain

Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Highwood Financial Services

    FRN 135717

    • 11. Pension transfer specialist
    • 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] Significant management (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (2 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 27 Nov 2007)
    • CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Jul 2005 to 6 Mar 2006)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (1 Nov 2007 to 27 Jun 2008)
    • CF21 Investment Adviser (11 Jun 2007 to 31 Oct 2007)

Recent activity

Updates to this individual's record on the FCA register.

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