Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Jan 2020)
    • [FCA CF] Client dealing (since 9 Jan 2020)
  • Saxon Financial Advice Limited (no longer approved here)

    FRN 210326

    • CF30 Customer (1 Nov 2007 to 28 Oct 2019)
    • CF24 Pension Transfer Specialist (8 Jul 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (15 Jan 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Jan 2003 to 15 Jan 2004)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (21 Sep 2002 to 5 Dec 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 21 Sep 2002)
  • Dhanda Financial (no longer approved here)

    FRN 192968

    • Employed By (25 Feb 2002 to 5 Dec 2002)
  • Trinity Financial Services (no longer approved here)

    FRN 189018

    • Employed By (1 Dec 2001 to 1 Jul 2002)

Recent activity

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

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