Where they hold approval

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

  • UBS AG

    FRN 186958

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Manager of certification employee (since 24 Jul 2025)
    • [PRA CF] Significant risk taker or Material risk taker (since 4 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Apr 2025)
    • [FCA CF] Material risk taker (since 4 Apr 2025)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • CF30 Customer (1 Nov 2007 to 22 Jan 2010)
    • CF21 Investment Adviser (19 Feb 2007 to 31 Oct 2007)
  • James Brearley & Sons Limited (no longer approved here)

    FRN 189219

    • CF21 Investment Adviser (28 Apr 2005 to 12 Feb 2007)
  • Atomos Financial Planning Limited (no longer approved here)

    FRN 193503

    • CF22 Investment Adviser (Trainee) (22 Feb 2005 to 4 Apr 2005)
  • The Shepherds Friendly Society Limited (no longer approved here)

    FRN 109997

    • CF21 Investment Adviser (18 Nov 2004 to 25 Feb 2005)

Recent activity

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

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