Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Dartington Wealth Management Limited
FRN 717593
- 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
- [FCA CF] Client dealing (since 29 May 2023)
- [FCA CF] Functions requiring qualifications (since 1 Aug 2022)
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Investment Risk Management Ltd
FRN 501839
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (3 Jun 2016 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.