Last updated
1 week ago
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Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 2 Aug 2021)
    • [FCA CF] Manager of certification employee (since 2 Aug 2021)
    • [FCA CF] Functions requiring qualifications (since 2 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jun 2021)
    • SMF3 Executive Director (since 8 Jun 2021)
  • Vision Independent Financial Planning Ltd (no longer approved here)

    FRN 487395

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Aug 2021)
    • CF30 Customer (29 Jul 2019 to 1 Aug 2021)
    • CF1 Director (AR) (29 Jul 2019 to 1 Aug 2021)
  • WIS Wealth Ltd (no longer approved here)

    FRN 846115

    • Employed By (29 Jul 2019 to 1 Aug 2021)

Recent activity

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

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