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
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2021)
    • [FCA CF] Client dealing (since 1 Oct 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (6 Dec 2011 to 30 Jul 2012)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 30 Nov 2011)
    • CF21 Investment Adviser (3 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Jun 2005 to 3 Oct 2007)

Recent activity

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

No changes recorded yet.