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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 14 Nov 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Nov 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Nov 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 14 Nov 2024)
    • CF30 Customer (3 Dec 2012 to 8 Dec 2019)
    • CF1 Director (3 Dec 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Dec 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Dec 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Dec 2012 to 30 Sep 2018)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (6 Sep 2012 to 4 Dec 2012)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 2 Jul 2012)

Recent activity

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

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