Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Pembroke Asset Management LLP
FRN 229257
- 11. Pension transfer specialist
- 14. Managing investments
- 16. Safeguarding and administering investments or holding client money
- 17. Administrative functions in relation to managing investments
- 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)
- SMF27 Partner (since 24 Nov 2021)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (3 Jun 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.