Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Client dealing (since 18 Feb 2025)
    • [FCA CF] Functions requiring qualifications (since 18 Feb 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (31 Mar 2022 to 31 Jan 2025)
    • CF30 Customer (15 Feb 2022 to 31 Jan 2025)
  • Franklyn Financial Management Ltd (no longer approved here)

    FRN 416194

    • (10)Employed By (15 Feb 2022 to 31 Jan 2025)
  • State Street Bank and Trust Company (no longer approved here)

    FRN 170462

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF26 Customer Trading (24 Apr 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.