Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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AFH Independent Financial Services Limited
FRN 216704
- 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] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (18 Mar 2019 to 8 Dec 2019)
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- (15)Employed By (3 Dec 2004 to 28 Dec 2006)
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- Employed By (2 Sep 2004 to 8 Dec 2019)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Oct 2004)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Oct 2004)
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- Employed By (13 May 1999 to 30 Oct 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.