Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Prosperity Financial Management Limited
FRN 1006940
- (10)4. Giving personal recommendations on retail investment products which are not broker funds
- (9)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- (8)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- (13)[FCA CF] Functions requiring qualifications (since 4 Apr 2024)
- (12)[FCA CF] Client dealing (since 4 Apr 2024)
- (11)SMF3 Executive Director (since 2 Apr 2024)
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Ten Insurance Services Limited
FRN 314593
- CF4 Partner (AR) (since 8 May 2008)
- CF1 Director (AR) (12 Apr 2006 to 7 May 2008)
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Prosperity Commercial Insurance Brokers LLP
FRN 447518
- (1)Employed By (since 12 Apr 2006)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Mar 2024)
- CF30 Customer (1 Nov 2007 to 28 Mar 2024)
- CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
- CF1 Director (AR) (6 Mar 2006 to 28 Mar 2024)
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- Employed By (20 May 2003 to 28 Mar 2024)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Prosperity Financial Management Limited
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controlled function removed: [FCA CF] Functions requiring qualifications at Prosperity Financial Management Limited
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controlled function removed: SMF3 Executive Director at Prosperity Financial Management Limited
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controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Prosperity Financial Management Limited
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controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Prosperity Financial Management Limited
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controlled function removed: [FCA CF] Client dealing at Prosperity Financial Management Limited
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controlled function added: (8)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose at Prosperity Financial Management Limited
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controlled function added: (9)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Prosperity Financial Management Limited
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controlled function added: (10)4. Giving personal recommendations on retail investment products which are not broker funds at Prosperity Financial Management Limited
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controlled function added: (11)SMF3 Executive Director at Prosperity Financial Management Limited