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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (16 Jan 2019 to 8 Dec 2019)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • CF30 Customer (3 Aug 2016 to 15 Jan 2019)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (1 May 2014 to 15 Jan 2019)
  • Wellserve Financial Limited (no longer approved here)

    FRN 190820

    • Employed By (19 Nov 2012 to 15 Jan 2019)
  • EQ Investors Limited (no longer approved here)

    FRN 539422

    • CF30 Customer (8 Nov 2012 to 10 Apr 2014)
  • Truestone Wellers LLP (no longer approved here)

    FRN 583152

    • Employed By (8 Nov 2012 to 15 Jan 2019)
  • SKIPTON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 100013

    • CF30 Customer (1 Nov 2007 to 8 Aug 2008)
    • CF21 Investment Adviser (4 Jan 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 Mar 2006 to 4 Jan 2007)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF21 Investment Adviser (3 Jul 2002 to 10 Mar 2006)
    • CF22 Investment Adviser (Trainee) (1 Jan 2002 to 3 Jul 2002)

Recent activity

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

No changes recorded yet.