Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Fintuity Limited
FRN 814106
- 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
- [FCA CF] Client dealing (since 6 Nov 2023)
- Appointed representative dealing with clients for which they require qualification (since 6 Nov 2023)
- CF1 Director (AR) (since 27 Oct 2023)
- CF30 Customer (since 27 Oct 2023)
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RAE Financial Advisory Services LTD
FRN 1003156
- (1)Employed By (since 27 Oct 2023)
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- [FCA CF] Functions requiring qualifications (30 May 2023 to 21 Jul 2023)
- [FCA CF] Client dealing (30 May 2023 to 21 Jul 2023)
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- Appointed representative dealing with clients for which they require qualification (15 Jan 2020 to 24 Mar 2023)
- CF30 Customer (10 Jan 2020 to 24 Mar 2023)
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- Employed By (22 Oct 2018 to 10 Sep 2019)
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- CF30 Customer (6 Mar 2014 to 23 Nov 2017)
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- (578)Employed By (6 Mar 2014 to 23 Nov 2017)
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- CF30 Customer (3 Sep 2010 to 31 May 2013)
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- CF30 Customer (1 Nov 2007 to 16 Sep 2010)
- CF21 Investment Adviser (27 Jun 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (25 Jan 2006 to 27 Jun 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.