Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 30 Oct 2023)
  • AJ Bell Securities Limited (no longer approved here)

    FRN 155593

    • [FCA CF] Client dealing (27 Jun 2022 to 3 Feb 2023)
    • [FCA CF] Functions requiring qualifications (27 Jun 2022 to 3 Feb 2023)
    • [FCA CF] Manager of certification employee (27 Jun 2022 to 3 Feb 2023)
  • AJ Bell Management Limited (no longer approved here)

    FRN 211468

    • [FCA CF] Client dealing (27 Jun 2022 to 3 Feb 2023)
    • [FCA CF] Functions requiring qualifications (27 Jun 2022 to 3 Feb 2023)
    • [FCA CF] Manager of certification employee (27 Jun 2022 to 3 Feb 2023)
  • AJ Bell Asset Management Limited (no longer approved here)

    FRN 774048

    • [FCA CF] Manager of certification employee (27 Jun 2022 to 22 Jun 2023)
    • [FCA CF] Client dealing (27 Jun 2022 to 22 Jun 2023)
    • [FCA CF] Functions requiring qualifications (27 Jun 2022 to 22 Jun 2023)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Significant management (29 Mar 2021 to 5 May 2022)
  • Ascot Lloyd Investment Management Limited (no longer approved here)

    FRN 650245

    • [FCA CF] Significant management (29 Mar 2021 to 5 May 2022)

Recent activity

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

No changes recorded yet.