Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 29 Mar 2019)
    • (3)Employed By (since 29 Mar 2019)
  • BROOM CONSULTANTS LIMITED (no longer approved here)

    FRN 424217

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (1 Aug 2005 to 31 Oct 2007)
  • Broom Consultants Ltd (3089) (no longer approved here)

    FRN 154593

    • Employed By (1 Dec 2001 to 29 Jul 2005)

Recent activity

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

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