Sarah - Jayne Williams

Last updated
2 weeks ago
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Where they hold approval

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

  • Harbour Financial LLP

    FRN 626323

    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 29 Nov 2021)
    • Responsible for Insurance Distribution (since 29 Nov 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF4 Partner (8 Dec 2016 to 8 Dec 2019)
    • CF30 Customer (7 Nov 2014 to 8 Dec 2019)
  • Harbour Financial (no longer approved here)

    FRN 200077

    • (5)Employed By (18 Mar 2013 to 7 Nov 2014)

Recent activity

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

No changes recorded yet.