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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 10 Jul 2024)
    • [FCA CF] Functions requiring qualifications (since 27 Jul 2020)
    • [FCA CF] Client dealing (since 27 Jul 2020)
  • PENGUIN WEALTH PLANNERS LIMITED (no longer approved here)

    FRN 830057

    • [FCA CF] Client dealing (1 Jun 2021 to 10 Dec 2021)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (6 Mar 2020 to 14 Jul 2020)
  • Charles Derby Wealth Management Limited (no longer approved here)

    FRN 535816

    • Employed By (6 Mar 2020 to 14 Jul 2020)
  • Sandringham Financial Partners Limited (no longer approved here)

    FRN 581304

    • CF30 Customer (27 Aug 2015 to 25 Sep 2015)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (24 May 2013 to 11 Jul 2020)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (550)Employed By (24 May 2013 to 14 Jul 2020)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (28 May 2010 to 29 Jul 2013)

Recent activity

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

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