Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Pelham Financial Limited
FRN 792964
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- [FCA CF] Functions requiring qualifications (since 28 Apr 2021)
- [FCA CF] Client dealing (since 28 Apr 2021)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Significant management (28 Apr 2021 to 13 Aug 2021)
- CF30 Customer (19 Feb 2019 to 8 Dec 2019)
- CF1 Director (19 Feb 2019 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.