Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Innovation Financial Management Limited
FRN 629434
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF10 Compliance Oversight (31 Mar 2017 to 8 Dec 2019)
- Responsible for Insurance Mediation (5 Jan 2015 to 30 Sep 2018)
- CF1 Director (5 Jan 2015 to 8 Dec 2019)
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- CF1 Director (AR) (8 Mar 2007 to 5 Jan 2015)
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- CF21 Investment Adviser (12 Oct 2005 to 30 Dec 2006)
- CF22 Investment Adviser (Trainee) (15 May 2002 to 12 Oct 2005)
- CF1 Director (AR) (15 May 2002 to 12 Mar 2007)
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- (1)Employed By (15 May 2002 to 5 Jan 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.