Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 25 Aug 2021)
- [FCA CF] Client dealing (since 25 Aug 2021)
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- [FCA CF] Client dealing (9 Dec 2019 to 9 Jul 2021)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jul 2021)
- CF30 Customer (1 Aug 2016 to 8 Dec 2019)
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- CF30 Customer (23 Oct 2013 to 31 Jul 2016)
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- CF30 Customer (21 Feb 2013 to 6 Nov 2013)
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- CF30 Customer (3 Jan 2012 to 25 Jun 2012)
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- CF30 Customer (24 Apr 2009 to 29 Oct 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.