Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Aurea Financial Planning Limited
FRN 121212
- 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)
- 7. Giving personal recommendations on long-term care insurance contracts
- SMF16 Compliance Oversight (since 14 Jul 2023)
- Responsible for Insurance Distribution (since 14 Jul 2023)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF24 Pension Transfer Specialist (20 Jul 2004 to 31 Oct 2007)
- CF1 Director (20 Jul 2004 to 8 Dec 2019)
- CF21 Investment Adviser (1 Oct 2002 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.