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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • CF30 Customer (since 4 Jun 2025)
    • Appointed representative dealing with clients for which they require qualification (since 4 Jun 2025)
    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • CF30 Customer (since 14 Sep 2021)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (26 Apr 2013 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (16 Jan 2007 to 31 Oct 2007)
    • (1)Employed By (since 10 Dec 2020)
  • Basil James Financial Services (no longer approved here)

    FRN 192597

    • Employed By (28 Jul 2005 to 29 Dec 2006)

Recent activity

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

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