Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Salisbury Financial Services Limited
FRN 116461
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Significant management (since 26 Jul 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jul 2024)
- SMF3 Executive Director (since 25 Jul 2024)
- Responsibility for MCD Intermediation (since 25 Jul 2024)
- Responsible for Insurance Distribution (since 25 Jul 2024)
- SMF16 Compliance Oversight (since 25 Jul 2024)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (20 Sep 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (9 Sep 2005 to 20 Sep 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.