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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 9 Aug 2016)
    • CF30 Customer (since 9 Aug 2016)
    • (1)Employed By (since 9 Aug 2016)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (6 Nov 2007 to 2 Jul 2016)
  • Court Ross Financial Management Limited (no longer approved here)

    FRN 131794

    • CF30 Customer (1 Nov 2007 to 14 Nov 2007)
    • CF21 Investment Adviser (2 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Jul 2003 to 2 Mar 2005)
  • Whitechurch Securities Limited (no longer approved here)

    FRN 114318

    • CF21 Investment Adviser (1 Dec 2001 to 24 Jul 2003)

Recent activity

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

  1. controlled function removed: Employed By at Acumen Investment Solutions Ltd

  2. controlled function added: (1)Employed By at Acumen Investment Solutions Ltd