Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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K & M Financial Advisors Limited
FRN 231578
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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] Significant management (since 9 Dec 2020)
- [FCA CF] Manager of certification employee (since 9 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 19 Sep 2016)
- [FCA CF] CASS oversight function (9 Dec 2020 to 10 Dec 2020)
- [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2020)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (26 May 2004 to 8 Dec 2019)
- CF21 Investment Adviser (26 May 2004 to 31 Oct 2007)
- CF8 Apportionment and Oversight (26 May 2004 to 31 Mar 2009)
- CF10 Compliance Oversight (26 May 2004 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.