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 14 Feb 2025)
    • CF30 Customer (since 15 Jan 2025)
    • (217)Employed By (since 15 Jan 2025)
  • Clarity Advice & Management Ltd (no longer approved here)

    FRN 820107

    • [FCA CF] Client dealing (1 Mar 2023 to 18 Nov 2024)
    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 18 Nov 2024)
  • The Bank of New York Mellon (no longer approved here)

    FRN 122467

    • CF30 Customer (30 Oct 2009 to 29 Jul 2011)
  • Blackfriars Asset Management Limited (no longer approved here)

    FRN 180892

    • CF30 Customer (1 Nov 2007 to 28 Jun 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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