Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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
- CF30 Customer (since 11 Dec 2023)
- Appointed representative dealing with clients for which they require qualification (since 21 Nov 2023)
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Principal & Prosper Limited
FRN 944737
- (10)Employed By (since 11 Dec 2023)
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- [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
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- CF30 Customer (29 Apr 2010 to 25 May 2012)
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- CF21 Investment Adviser (7 Feb 2005 to 21 Apr 2005)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Principal & Prosper Limited
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controlled function added: (10)Employed By at Principal & Prosper Limited