Last updated
3 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 18 Apr 2023)
    • [FCA CF] Client dealing (since 18 Apr 2023)
  • Pension Income Planning Limited (no longer approved here)

    FRN 713438

    • (9)[FCA CF] Client dealing (17 May 2021 to 24 Feb 2023)
    • (10)[FCA CF] Functions requiring qualifications (17 May 2021 to 24 Feb 2023)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (13 Aug 2015 to 12 Feb 2016)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF30 Customer (24 Sep 2012 to 1 Jan 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (22 Sep 2010 to 30 Sep 2012)
    • CF21 Investment Adviser (14 Oct 2005 to 26 Oct 2007)
    • CF22 Investment Adviser (Trainee) (23 Oct 2003 to 14 Oct 2005)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (24 Sep 2002 to 5 Jun 2003)

Recent activity

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

  1. controlled function added: (9)[FCA CF] Client dealing at Pension Income Planning Limited

  2. controlled function added: (10)[FCA CF] Functions requiring qualifications at Pension Income Planning Limited