Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 27 Apr 2020)
- [FCA CF] Client dealing (since 27 Apr 2020)
- CF30 Customer (5 Jun 2019 to 8 Dec 2019)
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- CF30 Customer (1 Jul 2014 to 6 Mar 2016)
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- CF22 Investment Adviser (Trainee) (5 Sep 2005 to 26 Oct 2005)
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- CF22 Investment Adviser (Trainee) (16 Jan 2003 to 28 May 2004)
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- CF21 Investment Adviser (1 Dec 2001 to 16 Jan 2003)
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- CF21 Investment Adviser (1 Dec 2001 to 16 Jan 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.