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
    • 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 22 Apr 2021)
    • [FCA CF] Client dealing (since 22 Apr 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 12 Jul 2021)
    • CF1 Director (AR) (11 Sep 2017 to 12 Jul 2021)
    • CF30 Customer (11 Sep 2017 to 12 Jul 2021)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (11 Sep 2017 to 12 Jul 2021)
  • Redmayne-Bentley LLP (no longer approved here)

    FRN 499510

    • CF30 Customer (5 Jul 2013 to 1 Oct 2019)
  • The Whitechurch Network Limited (no longer approved here)

    FRN 190859

    • CF30 Customer (27 Mar 2009 to 14 Dec 2011)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
    • CF22 Investment Adviser (Trainee) (11 Jun 2007 to 31 Oct 2007)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF22 Investment Adviser (Trainee) (28 Dec 2005 to 28 Feb 2007)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF24 Pension Transfer Specialist (27 May 2004 to 19 Oct 2005)
    • CF21 Investment Adviser (27 May 2004 to 19 Oct 2005)
  • Stapleton Investment Services (no longer approved here)

    FRN 206191

    • (2)Employed By (27 May 2004 to 19 Oct 2005)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF21 Investment Adviser (10 Apr 2003 to 30 Jun 2004)

Recent activity

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

No changes recorded yet.