Last updated
2 weeks ago
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Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 28 May 2025)
    • [FCA CF] Significant management (since 28 May 2025)
    • [FCA CF] Manager of certification employee (since 28 May 2025)
    • [FCA CF] Functions requiring qualifications (since 28 May 2025)
    • [FCA CF] Material risk taker (28 May 2025 to 24 Nov 2025)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Significant management (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • [FCA CF] Manager of certification employee (since 1 Jan 2021)
    • [FCA CF] Material risk taker (since 1 Jan 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (31 Jul 2014 to 8 Dec 2019)
    • CF1 Director (31 Jul 2014 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.