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 27 Mar 2024)
    • [FCA CF] Client dealing (since 27 Mar 2024)
  • D G S Independent Financial Advisers Limited (no longer approved here)

    FRN 225814

    • [FCA CF] Client dealing (19 Jul 2021 to 26 Feb 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Feb 2024)
    • CF30 Customer (1 Apr 2013 to 8 Dec 2019)
  • Lucra Ltd (no longer approved here)

    FRN 471916

    • Employed By (28 Aug 2007 to 31 Dec 2010)

Recent activity

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

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