Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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FIRCO FINANCIAL SERVICES GROUP LTD
FRN 760774
- 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)
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Client dealing (since 4 Mar 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Sep 2022)
- SMF16 Compliance Oversight (since 16 Sep 2022)
- Responsibility for MCD Intermediation (since 13 Jun 2022)
- Responsible for Insurance Distribution (since 13 Jun 2022)
- SMF3 Executive Director (since 22 Oct 2021)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Jun 2022)
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- SMF3 Executive Director (10 May 2024 to 22 Dec 2025)
- [FCA CF] Functions requiring qualifications (18 Apr 2024 to 31 Jan 2026)
- [FCA CF] Client dealing (18 Apr 2024 to 31 Jan 2026)
Recent activity
Updates to this individual's record on the FCA register.
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