Last updated
2 weeks ago
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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)
    • Appointed representative dealing with clients for which they require qualification (since 10 Jul 2024)
    • CF1 Director (AR) (since 9 Jul 2024)
    • CF30 Customer (since 9 Jul 2024)
    • [FCA CF] Client dealing (5 Jun 2024 to 10 Jul 2024)
    • [FCA CF] Functions requiring qualifications (5 Jun 2024 to 10 Jul 2024)
    • (2)Employed By (since 9 Jul 2024)
  • LIFT-Financial Ltd (no longer approved here)

    FRN 471394

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jun 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Jun 2024)
    • CF30 Customer (1 Jun 2015 to 8 Dec 2019)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (19 Aug 2013 to 29 May 2015)
  • Harold Wilson Financial Services Limited (no longer approved here)

    FRN 121023

    • CF30 Customer (1 Nov 2007 to 11 Sep 2009)
    • CF21 Investment Adviser (11 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Oct 2005 to 11 May 2006)

Recent activity

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

No changes recorded yet.