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)
    • [FCA CF] Client dealing (since 4 Jul 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Jul 2024)
  • Hentons Wealth Limited (no longer approved here)

    FRN 809391

    • [FCA CF] Functions requiring qualifications (7 Jun 2022 to 2 Jul 2024)
    • [FCA CF] Client dealing (7 Jun 2022 to 2 Jul 2024)
  • AFFLUENT FINANCIAL PLANNING LTD. (no longer approved here)

    FRN 173259

    • [FCA CF] Client dealing (1 Jun 2021 to 17 Sep 2021)
    • [FCA CF] Functions requiring qualifications (1 Jun 2021 to 17 Sep 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 May 2021)
    • CF30 Customer (19 Aug 2019 to 28 May 2021)
  • Wharfebank Financial Planning LLP (no longer approved here)

    FRN 835262

    • Employed By (19 Aug 2019 to 28 May 2021)
  • SERENITY FINANCIAL PLANNING LTD (no longer approved here)

    FRN 452299

    • CF30 Customer (1 Jul 2017 to 30 Nov 2018)

Recent activity

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

No changes recorded yet.