Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 12 Feb 2026)
    • [FCA CF] Client dealing (since 12 Feb 2026)
    • [FCA CF] Manager of certification employee (since 12 Feb 2026)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 11 Jul 2022)
    • [FCA CF] Client dealing (since 10 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 10 Nov 2020)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 11 Jul 2022)
    • [FCA CF] Client dealing (since 10 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 10 Nov 2020)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 11 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 10 Nov 2020)
    • [FCA CF] Client dealing (since 10 Nov 2020)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 11 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 10 Nov 2020)
    • [FCA CF] Client dealing (since 10 Nov 2020)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 11 Jul 2022)
    • [FCA CF] Client dealing (since 10 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 10 Nov 2020)
  • 7IM Investment and Retirement Solutions Limited (no longer approved here)

    FRN 787394

    • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
  • Seven Investment Management LLP (no longer approved here)

    FRN 589124

    • CF30 Customer (1 Mar 2013 to 8 Dec 2019)
  • Killik & Co LLP (no longer approved here)

    FRN 462016

    • CF30 Customer (1 Nov 2007 to 20 Dec 2007)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

No changes recorded yet.