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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Manager of certification employee (since 11 Sep 2024)
    • [FCA CF] Client dealing (since 1 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (4 Mar 2020 to 14 Oct 2021)
    • [FCA CF] Functions requiring qualifications (4 Mar 2020 to 14 Oct 2021)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (25 Jan 2019 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (30 Sep 2010 to 11 Nov 2012)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (20 Dec 2007 to 24 Sep 2010)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 5 Nov 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2003)

Recent activity

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

No changes recorded yet.