Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Premier Research and Marketing
FRN 413455
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 11. Pension transfer specialist
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 21. Advising or arranging (bringing about) equity release transactions
- 21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose
- 22. Designing scripted questions for execution-only sales of equity release transactions
- 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF10 Compliance Oversight (27 May 2005 to 8 Dec 2019)
- CF21 Investment Adviser (27 May 2005 to 31 Oct 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2004)
- CF7 Sole Trader (AR) (1 Dec 2001 to 17 May 2005)
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- Employed By (1 Dec 2001 to 17 May 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.