Where they hold approval

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

    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 12 Oct 2012)
    • (23)Employed By (since 7 Jun 2013)
  • Charles Derby (Home Counties) LLP (no longer approved here)

    FRN 451134

    • Employed By (12 Oct 2012 to 7 Jun 2013)

Recent activity

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

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