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 Jan 2024)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Functions requiring qualifications (1 Jul 2018 to 1 Nov 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (14 Jul 2016 to 1 Jul 2018)
    • CF30 Customer (31 Aug 2011 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (15 Dec 2005 to 13 Jul 2007)
    • CF22 Investment Adviser (Trainee) (1 Nov 2004 to 15 Dec 2005)

Recent activity

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

No changes recorded yet.