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.

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (18 Oct 2017 to 8 Dec 2019)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (23 Oct 2013 to 7 Apr 2017)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (7 Feb 2011 to 31 Oct 2011)

Recent activity

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

No changes recorded yet.