Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Midas Financial Services
FRN 131541
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 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] Client dealing (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- CF10 Compliance Oversight (9 Jun 2015 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF4 Partner (1 Dec 2001 to 14 Oct 2013)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Dec 2001)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.