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
    • [FCA CF] Client dealing (since 11 May 2023)
    • [FCA CF] Functions requiring qualifications (since 11 May 2023)
  • NFU Mutual Select Investments Limited (no longer approved here)

    FRN 582519

    • [FCA CF] Client dealing (30 May 2022 to 4 Nov 2022)
    • [FCA CF] Functions requiring qualifications (30 May 2022 to 4 Nov 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (3 Nov 2020 to 31 Dec 2021)
    • CF30 Customer (27 Oct 2020 to 31 Dec 2021)
  • Harries Financial Wealth Management Ltd (no longer approved here)

    FRN 837965

    • (1)Employed By (27 Oct 2020 to 31 Dec 2021)
  • Forester Life Limited (no longer approved here)

    FRN 177898

    • [FCA CF] Client dealing (10 Dec 2018 to 9 Oct 2020)

Recent activity

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

No changes recorded yet.