Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 14. Managing investments
    • SMF3 Executive Director (since 7 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 7 Apr 2021)
    • [FCA CF] Client dealing (since 7 Apr 2021)
  • Dowgate Capital Limited (no longer approved here)

    FRN 146274

    • [FCA CF] Functions requiring qualifications (27 Apr 2023 to 17 Nov 2023)
    • [FCA CF] Client dealing (27 Apr 2023 to 17 Nov 2023)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • CF30 Customer (18 Mar 2019 to 3 Dec 2019)
  • CANACCORD GENUITY ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 209741

    • CF30 Customer (17 Sep 2014 to 8 Oct 2019)
  • Killik & Co LLP (no longer approved here)

    FRN 462016

    • CF30 Customer (20 May 2009 to 4 Sep 2014)

Recent activity

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

No changes recorded yet.