Samuel Ryan Gregory

Last updated
5 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • William James Financial Services Limited

    FRN 970913

    • 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
    • [FCA CF] Client dealing (since 12 Jun 2024)
    • [FCA CF] Functions requiring qualifications (since 12 Jun 2024)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Functions requiring qualifications (23 Feb 2021 to 28 May 2024)
    • [FCA CF] Client dealing (23 Feb 2021 to 28 May 2024)
    • CF30 Customer (30 May 2019 to 8 Dec 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (2 Sep 2013 to 30 Sep 2014)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (2 Feb 2010 to 31 Jul 2012)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.