Paul Pugsley

Last updated
6 days ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Paul Pugsley

    FRN 947128

    • 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
    • Sole trader dealing with clients for which they require qualification (since 1 Jul 2021)
    • SMF16 Compliance Oversight (since 1 Jul 2021)
    • [FCA CF] Functions requiring qualifications (1 Jul 2021 to 2 Jul 2021)
    • [FCA CF] Client dealing (1 Jul 2021 to 2 Jul 2021)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 Aug 2021)
    • CF30 Customer (1 Nov 2007 to 1 Sep 2021)
    • CF4 Partner (AR) (6 Mar 2006 to 1 Sep 2021)
    • CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
  • Brooke Christian & Co (156) (no longer approved here)

    FRN 179099

    • Employed By (1 Dec 2001 to 1 Sep 2021)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.