Prem Latta Shergill

Last updated
2 weeks ago
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Where they hold approval

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

  • PERSPECTIVE (SOUTH EAST) LIMITED

    FRN 178690

    • 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 20 Mar 2026)
    • [FCA CF] Functions requiring qualifications (since 20 Mar 2026)
  • Newcastle Financial Advisers Limited (no longer approved here)

    FRN 222899

    • (99)Employed By (17 Sep 2013 to 2 Jul 2015)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (17 Sep 2013 to 2 Jul 2015)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (24 Oct 2011 to 17 May 2013)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 2 Dec 2010)
    • CF22 Investment Adviser (Trainee) (4 Jul 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.