Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- 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] Client dealing (since 3 Nov 2025)
- [FCA CF] Functions requiring qualifications (since 3 Nov 2025)
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- [FCA CF] Client dealing (1 Jul 2025 to 31 Oct 2025)
- [FCA CF] Functions requiring qualifications (5 Dec 2022 to 31 Oct 2025)
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- CF30 Customer (23 Jan 2022 to 5 Dec 2022)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Dec 2022)
- [FCA CF] Client dealing (9 Dec 2019 to 5 Dec 2022)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Dec 2022)
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- Employed By (23 Jan 2022 to 5 Dec 2022)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.