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
    • [FCA CF] Manager of certification employee (since 7 Feb 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
    • [FCA CF] Client dealing (since 4 Nov 2024)
  • J.M. FINN & CO.LTD (no longer approved here)

    FRN 450754

    • [FCA CF] Manager of certification employee (1 Jan 2021 to 22 Aug 2023)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF21 Investment Adviser (14 Dec 2005 to 20 Apr 2007)

Recent activity

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

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