Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Seven Investment Management LLP
FRN 589124
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (9 Mar 2016 to 8 Dec 2019)
-
- CF27 Investment Management (26 Apr 2004 to 27 Jan 2006)
- CF22 Investment Adviser (Trainee) (14 Oct 2002 to 27 Jan 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.