Where they hold approval

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

    • (3)Employed By (since 5 Apr 2024)
    • (4)Employed By (26 Nov 2010 to 4 Apr 2024)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • 9A. Advising on P2P agreements
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 2 Apr 2024)
    • Appointed representative dealing with clients for which they require qualification (since 2 Apr 2024)
    • CF1 Director (AR) (since 26 Mar 2024)
    • CF30 Customer (since 26 Mar 2024)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Mar 2024)
    • CF1 Director (AR) (12 Nov 2012 to 31 Mar 2024)
    • CF30 Customer (26 Nov 2010 to 31 Mar 2024)
  • Lothbury Pendil Financial Services Ltd (no longer approved here)

    FRN 517562

    • Employed By (12 Nov 2012 to 22 Oct 2021)
  • Chamberlain De Broe Limited (no longer approved here)

    FRN 147107

    • CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2001)

Recent activity

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

  1. controlled function removed: Employed By at Lothbury Wealth Management Limited

  2. controlled function added: (4)Employed By at Lothbury Wealth Management Limited

  3. controlled function added: (3)Employed By at Lothbury Wealth Management Limited