Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
M4 Financial Group Limited
FRN 583474
- 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)
- [FCA CF] Functions requiring qualifications (since 31 Jan 2025)
- [FCA CF] Client dealing (since 31 Jan 2025)
- Appointed representative dealing with clients for which they require qualification (31 Jan 2025 to 24 Apr 2025)
- [PRA CF] Key function holder (31 Jan 2025 to 24 Apr 2025)
-
Estate Capital Financial Management Limited
FRN 402217
- 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)
- [FCA CF] Functions requiring qualifications (since 22 Apr 2024)
- [FCA CF] Client dealing (since 22 Apr 2024)
-
- [FCA CF] Client dealing (9 Dec 2019 to 30 Jul 2021)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jul 2021)
- CF30 Customer (12 Sep 2011 to 8 Dec 2019)
-
- CF30 Customer (1 Nov 2007 to 8 Oct 2008)
- CF21 Investment Adviser (11 Jun 2007 to 31 Oct 2007)
-
- CF30 Customer (1 Nov 2007 to 14 Sep 2008)
- CF21 Investment Adviser (26 May 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (26 May 2004 to 26 May 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.