Victoria Joan Charles

Last updated
5 days ago
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Where they hold approval

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

  • Charles-Mayo Financial Advisers Limited

    FRN 1009527

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 2 Oct 2024)
    • [FCA CF] Client dealing (since 2 Oct 2024)
    • Responsibility for MCD Intermediation (since 1 Oct 2024)
    • SMF3 Executive Director (since 1 Oct 2024)
  • Iceni Financial Advisers Limited (no longer approved here)

    FRN 596084

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2024)
    • CF30 Customer (19 Dec 2016 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (21 Sep 2011 to 22 Aug 2016)
  • AFL Financial Strategies Ltd (no longer approved here)

    FRN 564343

    • Employed By (21 Sep 2011 to 22 Aug 2016)
  • Alan Boswell & Company Limited (no longer approved here)

    FRN 211088

    • CF21 Investment Adviser (9 Feb 2005 to 9 Jul 2007)
    • CF22 Investment Adviser (Trainee) (18 Nov 2003 to 9 Feb 2005)

Recent activity

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

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