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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2025)
    • [FCA CF] Client dealing (since 4 Nov 2025)
    • Responsible for Insurance Distribution (since 16 Oct 2025)
    • SMF16 Compliance Oversight (since 16 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Oct 2025)
    • SMF3 Executive Director (since 16 Oct 2025)
  • Societe Generale (no longer approved here)

    FRN 124866

    • CF30 Customer (22 Jan 2010 to 29 Jun 2012)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF21 Investment Adviser (23 Oct 2006 to 2 Oct 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (30 Nov 2002 to 30 May 2006)

Recent activity

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

No changes recorded yet.