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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (23 Mar 2016 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (30 Jul 2013 to 16 May 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (6 Feb 2008 to 29 Jul 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 26 Nov 2007)
    • CF21 Investment Adviser (15 Oct 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Jul 2002 to 15 Oct 2003)

Recent activity

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

No changes recorded yet.