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
    • 9A. Advising on P2P agreements
    • 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 3 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (25 Aug 2016 to 8 Dec 2019)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (9 Apr 2008 to 12 Feb 2014)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (4 Jul 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 May 2006 to 4 Jul 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (4 Jul 2007 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 May 2006 to 4 Jul 2007)

Recent activity

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

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