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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 22 Oct 2019)
    • CF30 Customer (since 22 Oct 2019)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
    • (1)Employed By (since 22 Oct 2019)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (19 Jun 2019 to 16 Aug 2019)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • CF30 Customer (19 Jun 2019 to 16 Aug 2019)
  • TrinityBridge Limited (no longer approved here)

    FRN 119329

    • CF30 Customer (25 Jan 2012 to 27 Feb 2019)
  • Paul Brown (no longer approved here)

    FRN 193449

    • (2)Employed By (23 Apr 2010 to 30 Oct 2010)
  • SKIPTON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 100013

    • CF30 Customer (1 Nov 2007 to 3 Oct 2008)
    • CF21 Investment Adviser (15 Mar 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Aug 2005 to 15 Mar 2006)

Recent activity

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

No changes recorded yet.