Shane Wade

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • THROGMORTON PRIVATE CAPITAL LIMITED

    FRN 431157

    • 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 19 Dec 2019)
    • [FCA CF] Client dealing (since 19 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Jul 2005 to 14 Jul 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (17 Jun 2002 to 12 Aug 2005)
    • CF22 Investment Adviser (Trainee) (1 Feb 2002 to 17 Jun 2002)

Recent activity

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

No changes recorded yet.