Paul Adrian Harries

Last updated
2 days ago
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Where they hold approval

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

  • PRISM INDEPENDENT FINANCIAL MANAGEMENT LIMITED (no longer approved here)

    FRN 426567

    • CF30 Customer (1 Nov 2007 to 20 Dec 2012)
    • CF1 Director (21 Apr 2005 to 1 Oct 2008)
    • CF10 Compliance Oversight (21 Apr 2005 to 24 Jul 2007)
    • CF11 Money Laundering Reporting (21 Apr 2005 to 17 Apr 2012)
    • CF21 Investment Adviser (21 Apr 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (21 Apr 2005 to 17 Apr 2012)
    • CF8 Apportionment and Oversight (21 Apr 2005 to 31 Mar 2009)
  • Nicholas Insurance Services (no longer approved here)

    FRN 120886

    • (1)Employed By (5 Aug 2002 to 24 Dec 2004)
  • Cleddau Insurance (no longer approved here)

    FRN 165500

    • Employed By (1 Dec 2001 to 5 Aug 2002)

Recent activity

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

No changes recorded yet.