Shiraz Puri

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 18 Jun 2021)
- CF1 Director (AR) (since 10 Jun 2021)
- CF30 Customer (since 10 Jun 2021)
Falcon Wealth Management Ltd
FRN 950662
- (1)Employed By (since 10 Jun 2021)
Forte Wealth Management Limited (no longer approved here)
FRN 796645
- (10)Employed By (18 Dec 2017 to 30 May 2018)
Frenkel Topping Limited (no longer approved here)
FRN 145186
- CF30 Customer (23 Jun 2017 to 30 May 2018)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (25 Oct 2011 to 27 Nov 2015)

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

23 hours ago
controlled function removed: Employed By at Forte Wealth Management Limited
23 hours ago
controlled function added: (10)Employed By at Forte Wealth Management Limited

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.