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)
    • [FCA CF] Client dealing (since 27 Apr 2022)
    • Appointed representative dealing with clients for which they require qualification (since 27 Apr 2022)
    • CF30 Customer (since 13 Apr 2022)
    • Employed By (since 13 Apr 2022)
    • CF30 Customer (1 Nov 2007 to 30 Apr 2012)
    • CF21 Investment Adviser (28 Jul 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (20 Jul 2004 to 28 Jul 2005)
  • N.F.U. Mutual Unit Managers Limited (no longer approved here)

    FRN 121922

    • CF21 Investment Adviser (28 Jul 2005 to 1 Apr 2007)
    • CF22 Investment Adviser (Trainee) (20 Jul 2004 to 28 Jul 2005)

Recent activity

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

No changes recorded yet.