Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Continuum (Financial Services) LLP
FRN 802331
- 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 27 Jul 2020)
- [FCA CF] Client dealing (since 27 Jul 2020)
- CF30 Customer (16 Nov 2018 to 8 Dec 2019)
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- CF30 Customer (1 Jul 2016 to 16 Nov 2018)
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- Employed By (1 Jul 2016 to 16 Nov 2018)
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- CF30 Customer (10 Dec 2007 to 22 Jan 2015)
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- CF21 Investment Adviser (17 Sep 2007 to 1 Oct 2007)
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- CF21 Investment Adviser (25 Mar 2003 to 5 Jun 2003)
- CF22 Investment Adviser (Trainee) (4 Dec 2002 to 25 Mar 2003)
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- CF21 Investment Adviser (17 Jun 2002 to 11 Oct 2002)
- CF22 Investment Adviser (Trainee) (4 Jan 2002 to 17 Jun 2002)
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- CF21 Investment Adviser (17 Jun 2002 to 1 Jul 2002)
- CF22 Investment Adviser (Trainee) (4 Jan 2002 to 17 Jun 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.