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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 14 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 14 Aug 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (15 Jun 2021 to 22 Dec 2023)
    • CF30 Customer (26 Apr 2021 to 22 Dec 2023)
  • Trowlock Wealth Management LLP (no longer approved here)

    FRN 597650

    • (7)Employed By (26 Apr 2021 to 22 Dec 2023)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (27 Apr 2020 to 21 Mar 2021)
    • [FCA CF] Client dealing (27 Apr 2020 to 21 Mar 2021)
    • CF30 Customer (5 Jul 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (28 Aug 2008 to 6 Mar 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 30 Oct 2008)
    • CF21 Investment Adviser (11 Nov 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (30 Sep 2003 to 11 Nov 2004)

Recent activity

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

No changes recorded yet.