Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
J & E Davy (UK) Limited
FRN 172140
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 11. Pension transfer specialist
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (2 Nov 2018 to 8 Dec 2019)
-
- CF30 Customer (18 Jun 2015 to 8 Jun 2016)
-
- (7)Employed By (11 Jun 2015 to 8 Jun 2016)
Recent activity
Updates to this individual's record on the FCA register.
-
controlled function removed: Employed By at HORIZON FINANCIAL MANAGEMENT LTD
-
controlled function added: (7)Employed By at HORIZON FINANCIAL MANAGEMENT LTD