Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Client dealing (since 1 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
    • [FCA CF] Manager of certification employee (since 1 Nov 2025)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 1 Feb 2020)
    • [FCA CF] Client dealing (since 1 Feb 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Feb 2020)
    • CF30 Customer (7 Aug 2008 to 8 Dec 2019)
  • J.M. FINN & CO.LTD (no longer approved here)

    FRN 450754

    • CF22 Investment Adviser (Trainee) (30 Jun 2006 to 10 Sep 2006)

Recent activity

Updates to this individual's record on the FCA register.

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