Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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QUILTER FINANCIAL SERVICES LIMITED
FRN 440703
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 14 Jul 2015)
- CF1 Director (AR) (14 Jul 2015 to 29 Oct 2015)
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Spire Financial Management Ltd
FRN 211136
- (1)Employed By (since 14 Jul 2015)
- (5)Employed By (30 Sep 2003 to 16 Dec 2019)
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- CF1 Director (AR) (14 Jul 2015 to 9 Jan 2020)
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- Employed By (11 Aug 2005 to 8 Mar 2007)
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- Employed By (1 Dec 2001 to 16 Sep 2002)
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- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2004)
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- CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2007)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Spire Financial Management Ltd
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controlled function added: (5)Employed By at Spire Financial Management Ltd
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controlled function added: (1)Employed By at Spire Financial Management Ltd