Where they hold approval

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

    • 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] Client dealing (since 20 Feb 2024)
    • [FCA CF] Functions requiring qualifications (since 20 Feb 2024)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (30 Mar 2022 to 9 Jan 2024)
    • [FCA CF] Client dealing (30 Mar 2022 to 9 Jan 2024)
  • Oasis Crescent Wealth (UK) Limited (no longer approved here)

    FRN 572395

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Dec 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 20 Dec 2021)
    • CF30 Customer (11 Sep 2015 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.