Last updated
5 days ago
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Where they hold approval

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

    • 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] Functions requiring qualifications (since 15 May 2025)
    • [FCA CF] Client dealing (since 15 May 2025)
  • Start Financial Planning Limited (no longer approved here)

    FRN 956372

    • [FCA CF] Functions requiring qualifications (5 Jun 2023 to 7 Mar 2025)
    • [FCA CF] Client dealing (5 Jun 2023 to 7 Mar 2025)
  • Leo Alexander Wealth & Financial Management Limited (no longer approved here)

    FRN 624042

    • SMF16 Compliance Oversight (16 Mar 2022 to 31 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (16 Mar 2022 to 31 May 2023)
    • [FCA CF] Functions requiring qualifications (25 Mar 2021 to 31 May 2023)
    • [FCA CF] Client dealing (25 Mar 2021 to 31 May 2023)

Recent activity

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

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