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 19 Jul 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Sep 2002 to 30 Dec 2005)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (27 Jan 2011 to 16 Sep 2013)

Recent activity

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

No changes recorded yet.