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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Significant management (since 21 Jul 2023)
    • [FCA CF] Client dealing (since 23 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 22 Oct 2020)
    • Appointed representative dealing with clients for which they require qualification (since 22 Oct 2020)
    • CF30 Customer (since 1 Nov 2007)
    • (2)Employed By (since 1 Mar 2013)
  • Wealth Matters (no longer approved here)

    FRN 207987

    • (1)Employed By (1 Dec 2001 to 27 Apr 2006)

Recent activity

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

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