Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Finsgate LLP
FRN 522649
- 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)
- [FCA CF] Client dealing (since 1 Jun 2024)
- [FCA CF] Functions requiring qualifications (since 1 Jun 2024)
-
- CF30 Customer (24 Feb 2010 to 23 Feb 2011)
-
- Employed By (24 Feb 2010 to 23 Feb 2011)
-
- CF4 Partner (AR) (15 May 2008 to 11 Feb 2010)
- CF30 Customer (15 May 2008 to 11 Feb 2010)
- CF22 Investment Adviser (Trainee) (11 Jan 2007 to 16 Aug 2007)
-
- CF4 Partner (AR) (12 Sep 2007 to 11 Feb 2010)
-
- Employed By (11 Jan 2007 to 16 Aug 2007)
-
- CF22 Investment Adviser (Trainee) (1 Jun 2005 to 14 Jul 2006)
- CF4 Partner (AR) (1 Jun 2005 to 14 Jul 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.