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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jul 2005 to 31 Oct 2007)
  • Peterkins (no longer approved here)

    FRN 113007

    • CF21 Investment Adviser (6 Jan 2005 to 19 Oct 2005)
  • RAVENSTONE FINANCIAL MANAGEMENT LTD. (no longer approved here)

    FRN 207506

    • CF21 Investment Adviser (9 May 2002 to 26 Aug 2003)

Recent activity

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

No changes recorded yet.