Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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] Functions requiring qualifications (since 1 Jun 2020)
- [FCA CF] Client dealing (since 1 Jun 2020)
- CF30 Customer (14 Jul 2011 to 24 Dec 2012)
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- CF30 Customer (12 Aug 2009 to 1 Aug 2011)
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- CF30 Customer (1 Nov 2007 to 13 Aug 2009)
- CF21 Investment Adviser (9 Nov 2004 to 31 Oct 2007)
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- (25)Employed By (9 Nov 2004 to 13 Aug 2009)
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- CF21 Investment Adviser (11 Nov 2002 to 21 Sep 2004)
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- CF21 Investment Adviser (1 Dec 2001 to 21 Sep 2004)
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- CF21 Investment Adviser (1 Dec 2001 to 21 Sep 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.