| Firm | Role | Since |
|---|---|---|
| SRG Financial Management Ltd | CPD4 - Personal recommendation on retail investments (not broker funds) | 30/11/2020 |
| SRG Financial Management Ltd | CPD6 - Personal recommendation on Friendly Soc tax-exempt policies(not Holloway) | 30/11/2020 |
| SRG Financial Management Ltd | CPD7 - Personal recommendation on long-term care insurance | 30/11/2020 |
| SRG Financial Management Ltd | The Chartered Institute for Securities and Investment (CISI) | 30/11/2020 |
| SRG Financial Management Ltd | The Chartered Insurance Institute (CII) | 30/11/2020 |
| SRG Financial Management Ltd | CFA Society of the UK | 30/11/2020 |
| SRG Financial Management Ltd | [FCA CF] Client dealing | 09/12/2019 |
| SRG Financial Management Ltd | SMF3 Executive Director | 09/12/2019 |
| SRG Financial Management Ltd | SMF16 Compliance Oversight | 09/12/2019 |
| SRG Financial Management Ltd | SMF17 Money Laundering Reporting Officer (MLRO) | 09/12/2019 |
| SRG Financial Management Ltd | [FCA CF] Functions requiring qualifications | 09/12/2019 |
| SRG Financial Management Ltd | Responsible for Insurance Distribution | 01/10/2018 |
| Slemish n tha Braid Credit Union Limited | Director of firm who is not a certification employee or a SMF manager | 01/10/2016 |