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 21 Oct 2021)
    • [FCA CF] Client dealing (since 21 Oct 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 11 May 2021)
    • CF30 Customer (1 Apr 2017 to 11 May 2021)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (18 Jul 2014 to 7 Apr 2017)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (17 Jun 2011 to 29 Jul 2013)

Recent activity

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

No changes recorded yet.