Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 29 Sep 2017)
    • CF30 Customer (since 29 Sep 2017)
    • (1)Employed By (since 29 Sep 2017)
  • Davis Associates (3064) (no longer approved here)

    FRN 194619

    • Employed By (5 May 2005 to 25 Jul 2005)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF22 Investment Adviser (Trainee) (13 Jan 2004 to 15 Nov 2004)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

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