Where they hold approval

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

  • TPIO Limited

    FRN 835577

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 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
    • 14. Managing investments
    • 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
    • [FCA CF] Functions requiring qualifications (since 7 Jan 2026)
    • [FCA CF] Client dealing (since 7 Jan 2026)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (8 Jul 2022 to 18 Oct 2024)
    • CF1 Director (AR) (1 Sep 2021 to 18 Oct 2024)
    • CF30 Customer (1 Sep 2021 to 18 Oct 2024)

Recent activity

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

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