Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Guild Financial Advisory Limited
FRN 922996
- [FCA CF] Client dealing (since 6 Nov 2020)
- SMF3 Executive Director (since 6 Nov 2020)
- [FCA CF] Significant management (since 6 Nov 2020)
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- CF1 Director (AR) (28 Feb 2019 to 5 Nov 2020)
- CF30 Customer (28 Feb 2019 to 5 Nov 2020)
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- CF10 Compliance Oversight (19 Feb 2011 to 22 Oct 2015)
- CF30 Customer (1 Oct 2008 to 16 May 2016)
- CF11 Money Laundering Reporting (1 Oct 2008 to 29 Jan 2010)
- CF1 Director (28 Apr 2008 to 9 Jul 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.