Where they hold approval

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

    • 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] Client dealing (since 7 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (11 Jul 2011 to 8 Dec 2019)
    • CF1 Director (11 Jul 2011 to 8 Dec 2019)
    • CF30 Customer (11 Jul 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Jul 2011 to 30 Sep 2018)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 8 Dec 2019)
  • BHP Financial Planning Limited (no longer approved here)

    FRN 191336

    • CF30 Customer (25 Mar 2008 to 7 Dec 2008)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 4 Jan 2008)
    • CF21 Investment Adviser (25 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Dec 2004 to 25 May 2007)

Recent activity

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

No changes recorded yet.