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)
    • 9A. Advising on P2P agreements
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF1 Director (AR) (since 8 Mar 2019)
    • CF30 Customer (since 20 Oct 2010)
    • (1)Employed By (since 20 Oct 2010)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (16 Mar 2017 to 31 May 2017)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 16 Nov 2007)
    • CF21 Investment Adviser (26 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Jul 2006 to 26 Feb 2007)

Recent activity

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

  1. controlled function removed: Employed By at Portland Wealth Management Limited

  2. controlled function added: (1)Employed By at Portland Wealth Management Limited