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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (22 Feb 2011 to 8 Dec 2019)
    • CF30 Customer (22 Feb 2011 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (21 Oct 2010 to 19 Jan 2011)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (30 Jul 2010 to 24 Aug 2010)

Recent activity

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

No changes recorded yet.