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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Jun 2021)
    • SMF16 Compliance Oversight (since 16 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 16 Mar 2020)
    • [FCA CF] Client dealing (since 16 Mar 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF11 Money Laundering Reporting (1 Oct 2010 to 30 Sep 2012)
    • CF1 Director (1 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2010 to 1 Jun 2012)
    • CF30 Customer (1 Oct 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Oct 2010 to 30 Sep 2018)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (1 Oct 2002 to 10 Aug 2004)
    • CF4 Partner (AR) (1 Oct 2002 to 10 Aug 2004)
  • Lighthouse (Cambridgeshire) (no longer approved here)

    FRN 200549

    • (4)Employed By (30 Jul 2001 to 1 May 2003)

Recent activity

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

No changes recorded yet.