Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (20 Feb 2008 to 30 Nov 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (5 Apr 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (5 Apr 2004 to 31 Oct 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF27 Investment Management (10 Apr 2002 to 14 Jun 2002)

Recent activity

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

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