Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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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 9 Dec 2019)
- CF1 Director (AR) (since 18 Feb 2019)
- CF30 Customer (since 18 Feb 2019)
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Southlands Financial Services Ltd
FRN 833236
- (2)Employed By (since 18 Feb 2019)
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- CF30 Customer (25 Apr 2016 to 22 Feb 2019)
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- CF30 Customer (19 Jan 2015 to 27 Jun 2016)
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- CF22 Investment Adviser (Trainee) (28 Nov 2006 to 29 Oct 2007)
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- CF22 Investment Adviser (Trainee) (28 Nov 2006 to 29 Oct 2007)
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- CF22 Investment Adviser (Trainee) (19 Jun 2006 to 27 Dec 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.