Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Weatherbys Bank Limited (no longer approved here)

    FRN 204571

    • CF30 Customer (30 Sep 2015 to 6 Mar 2016)
  • BUTLER TOLL LIMITED (no longer approved here)

    FRN 442229

    • CF30 Customer (12 Jun 2009 to 31 Aug 2010)

Recent activity

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

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