Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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QUILTER FINANCIAL SERVICES LIMITED
FRN 440703
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 9 Jan 2015)
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Warwick Road Financial Services Ltd
FRN 656015
- Employed By (since 2 Jan 2015)
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- CF21 Investment Adviser (8 Dec 2003 to 31 Oct 2004)
- CF22 Investment Adviser (Trainee) (6 Jun 2003 to 8 Dec 2003)
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- CF21 Investment Adviser (8 Dec 2003 to 23 Aug 2007)
- CF22 Investment Adviser (Trainee) (6 Jun 2003 to 8 Dec 2003)
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- (20)Employed By (6 Jun 2003 to 9 Nov 2012)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Beard & Coles Financial Practice Ltd
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controlled function added: (20)Employed By at Beard & Coles Financial Practice Ltd