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] Functions requiring qualifications (since 9 Sep 2025)
    • [FCA CF] Client dealing (since 9 Sep 2025)
  • Tate Consultancy Limited (no longer approved here)

    FRN 521678

    • [FCA CF] Functions requiring qualifications (1 Feb 2024 to 7 Nov 2025)
    • [FCA CF] Client dealing (20 Sep 2021 to 28 Feb 2023)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (29 Apr 2005 to 18 May 2006)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (29 Apr 2005 to 18 May 2006)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF21 Investment Adviser (1 Dec 2001 to 18 Feb 2005)

Recent activity

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

No changes recorded yet.