Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Lathe & Co Wealth Advisers Ltd
FRN 838186
- 21. Advising or arranging (bringing about) equity release transactions
- 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)
- CF30 Customer (since 18 Dec 2024)
- Appointed representative dealing with clients for which they require qualification (since 1 Oct 2022)
- [FCA CF] Client dealing (since 14 Sep 2022)
- [FCA CF] Functions requiring qualifications (14 Sep 2022 to 19 Oct 2023)
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Financial Initiatives Limited
FRN 935269
- (1)Employed By (since 18 Dec 2024)
Recent activity
Updates to this individual's record on the FCA register.
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