Where they hold approval

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

    • 14. 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (since 13 Jul 2016)
    • CF1 Director (AR) (11 May 2017 to 7 Aug 2024)
    • CF10 Compliance Oversight (15 Feb 2016 to 15 Feb 2016)
    • CF30 Customer (15 Feb 2016 to 15 Feb 2016)
    • CF1 Director (15 Feb 2016 to 15 Feb 2016)

Recent activity

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

No changes recorded yet.