Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 2 May 2025)
    • [FCA CF] Client dealing (since 2 May 2025)
    • Appointed representative dealing with clients for which they require qualification (since 2 May 2025)
    • CF1 Director (AR) (since 1 May 2025)
    • CF30 Customer (since 1 May 2025)
    • (1)Employed By (since 1 May 2025)
  • Bordier & Cie (UK) PLC (no longer approved here)

    FRN 114324

    • [FCA CF] Client dealing (13 Apr 2023 to 28 Oct 2024)
    • [FCA CF] Functions requiring qualifications (13 Apr 2023 to 28 Oct 2024)
  • IWP Investment Management Limited (no longer approved here)

    FRN 114563

    • [FCA CF] Material risk taker (1 May 2021 to 1 Nov 2022)
  • Brunel Pension Partnership Limited (no longer approved here)

    FRN 790168

    • (62)CF30 Customer (28 Apr 2018 to 25 Jul 2018)
  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • CF30 Customer (26 Feb 2010 to 23 Dec 2010)

Recent activity

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

  1. controlled function added: (62)CF30 Customer at Brunel Pension Partnership Limited