Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Barnett Waddingham LLP
FRN 494494
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (10 Jun 2013 to 8 Dec 2019)
-
- CF30 Customer (16 Sep 2011 to 3 May 2013)
-
- CF21 Investment Adviser (15 Aug 2006 to 8 Jun 2007)
- CF22 Investment Adviser (Trainee) (8 Nov 2005 to 15 Aug 2006)
-
- CF21 Investment Adviser (15 Aug 2006 to 1 Apr 2007)
- CF22 Investment Adviser (Trainee) (8 Nov 2005 to 15 Aug 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.