Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Sandringham Financial Management
FRN 459004
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Sole trader dealing with clients for which they require qualification (since 11 Jul 2022)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
- CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
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- (1)Employed By (1 Oct 1998 to 20 Dec 2006)
Recent activity
Updates to this individual's record on the FCA register.
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