Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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J.M. FINN & CO.LTD
FRN 450754
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Client dealing (since 1 Jan 2021)
- [FCA CF] Manager of certification employee (since 1 Jan 2021)
- [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
- [FCA CF] Material risk taker (1 Jan 2021 to 15 Mar 2022)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
- CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
- CF1 Director (30 Jun 2006 to 30 Sep 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.