Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Ascot Lloyd Limited
FRN 578614
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 5 May 2022)
- [FCA CF] Client dealing (since 5 May 2022)
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- CF30 Customer (4 Mar 2010 to 10 Aug 2010)
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- CF30 Customer (1 Nov 2007 to 3 Mar 2010)
- CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (1 Jan 2002 to 5 Jun 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.