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
    • [FCA CF] Client dealing (since 8 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 13 Feb 2024)
    • 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 28 Jul 2021)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Functions requiring qualifications (9 Sep 2019 to 26 Jul 2021)
    • CF30 Customer (1 Jan 2016 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.