Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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 31 Mar 2024)
- [FCA CF] Client dealing (since 31 Mar 2024)
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- Employed By (10 Sep 2020 to 4 Apr 2024)
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- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 4 Apr 2024)
- CF30 Customer (20 Nov 2012 to 4 Apr 2024)
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- Employed By (22 Jul 2016 to 4 Apr 2024)
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- Employed By (11 Jun 2014 to 26 Jul 2016)
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- (11)Employed By (20 Nov 2012 to 27 Jul 2016)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Ashwood Law Wealth Management Ltd
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controlled function added: (11)Employed By at Ashwood Law Wealth Management Ltd