Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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M & D Financial Management Limited
FRN 402654
- 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 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jan 2022)
- SMF3 Executive Director (9 Dec 2019 to 14 Feb 2022)
- Responsibility for MCD Intermediation (29 Sep 2016 to 14 Feb 2022)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (2 Mar 2005 to 8 Dec 2019)
- CF21 Investment Adviser (2 Mar 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.