Where they hold approval

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

    • 16. Safeguarding and administering investments or holding client money
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF18 Other Overall Responsibility (since 1 Mar 2026)
    • [PRA CF] Key function holder (since 12 May 2025)
    • [FCA CF] Functions requiring qualifications (since 12 May 2025)
    • [FCA CF] Manager of certification employee (since 12 May 2025)
    • [FCA CF] Material risk taker (since 12 May 2025)
    • [FCA CF] Significant management (since 12 May 2025)
    • [PRA CF] Managing a material risk taker (since 12 May 2025)
  • FIL Wealth Management Limited (no longer approved here)

    FRN 464968

    • [FCA CF] Significant management (12 Jan 2024 to 4 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Jan 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Apr 2025)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 25 Feb 2002)

Recent activity

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

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