Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Advanta Direct Ltd
FRN 430987
- 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 22 Mar 2024)
- [FCA CF] Client dealing (since 22 Mar 2024)
-
Advanta Wealth Ltd
FRN 605977
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 28 Feb 2022)
- [FCA CF] Client dealing (since 28 Feb 2022)
-
- (23)Employed By (23 Nov 2011 to 30 May 2014)
-
- CF30 Customer (23 Nov 2011 to 30 May 2014)
-
- CF30 Customer (1 Nov 2007 to 29 Oct 2011)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.