Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Best Practice IFA Group Limited
FRN 223112
- 11. Pension transfer specialist
- 9A. Advising on P2P agreements
- 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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- Appointed representative dealing with clients for which they require qualification (since 28 Oct 2024)
- [FCA CF] Client dealing (since 28 Oct 2024)
- CF4 Partner (AR) (since 2 Oct 2024)
- CF30 Customer (since 2 Oct 2024)
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4Front Financial Management LLP
FRN 1018829
- (2)Employed By (since 28 Oct 2024)
- (1)Employed By (2 Oct 2024 to 7 Oct 2024)
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- [FCA CF] Functions requiring qualifications (16 Jun 2021 to 24 Oct 2024)
- [FCA CF] Client dealing (16 Jun 2021 to 24 Oct 2024)
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- [FCA CF] Client dealing (9 Dec 2019 to 27 Jul 2021)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Jul 2021)
- CF30 Customer (17 Aug 2016 to 8 Dec 2019)
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- CF21 Investment Adviser (7 Sep 2004 to 3 Mar 2006)
- CF22 Investment Adviser (Trainee) (9 Feb 2004 to 7 Sep 2004)
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- CF22 Investment Adviser (Trainee) (21 Oct 2003 to 16 Dec 2003)
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- CF22 Investment Adviser (Trainee) (24 May 2002 to 31 Jul 2002)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at 4Front Financial Management LLP
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controlled function added: (1)Employed By at 4Front Financial Management LLP
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controlled function added: (2)Employed By at 4Front Financial Management LLP