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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 11 Jun 2021)
    • CF30 Customer (since 10 Jun 2021)
    • Employed By (since 10 Jun 2021)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (20 Apr 2020 to 20 May 2021)
    • [FCA CF] Client dealing (20 Apr 2020 to 20 May 2021)
    • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (24 Nov 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Nov 2004 to 24 Nov 2005)

Recent activity

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

No changes recorded yet.