Raymond James Broomfield

Last updated
3 weeks ago
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Where they hold approval

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

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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] Functions requiring qualifications (since 1 Jul 2020)
    • [FCA CF] Client dealing (since 1 Jul 2020)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Client dealing (23 Aug 2017 to 16 May 2018)
  • SKIPTON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 100013

    • CF30 Customer (1 Nov 2007 to 30 Aug 2013)
    • CF21 Investment Adviser (27 Feb 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Aug 2005 to 27 Feb 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (28 Sep 2004 to 29 Jul 2005)

Recent activity

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

No changes recorded yet.