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
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 11 Nov 2011)
    • CF30 Customer (since 1 Nov 2007)
    • CF4 Partner (AR) (since 1 Jul 2002)
    • CF21 Investment Adviser (8 Apr 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Jul 2002 to 8 Apr 2004)
    • (3)Employed By (since 11 Nov 2011)
    • (4)Employed By (since 1 Jul 2002)
  • Alpha Financial Consultants (South West) Limited (no longer approved here)

    FRN 200579

    • Employed By (5 Jul 2016 to 1 Feb 2018)

Recent activity

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

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