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 3 Jul 2023)
    • CF1 Director (AR) (since 14 Mar 2023)
    • CF30 Customer (since 14 Mar 2023)
    • [FCA CF] Client dealing (20 Mar 2023 to 31 Mar 2023)
    • Appointed representative dealing with clients for which they require qualification (20 Mar 2023 to 31 Mar 2023)
    • [FCA CF] Functions requiring qualifications (27 Jul 2020 to 31 Mar 2023)
    • [FCA CF] Manager of certification employee (27 Jul 2020 to 31 Mar 2023)
    • (11)Employed By (since 14 Mar 2023)
  • Sandringham Financial Partners Limited (no longer approved here)

    FRN 581304

    • [FCA CF] Client dealing (15 Feb 2023 to 31 Mar 2023)
    • [FCA CF] Functions requiring qualifications (15 Feb 2023 to 31 Mar 2023)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (23 Dec 2009 to 28 Feb 2015)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (7 May 2008 to 21 Sep 2009)

Recent activity

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

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