Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Feb 2024)
    • SMF3 Executive Director (since 18 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (2 Jan 2019 to 2 Dec 2024)
  • Professional Financial Planning (South West) Limited (no longer approved here)

    FRN 524459

    • Employed By (11 Jan 2019 to 2 Dec 2024)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • CF30 Customer (27 Feb 2017 to 11 Dec 2018)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (20 Aug 2014 to 11 Dec 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (22 Nov 2012 to 3 Jun 2014)
    • CF30 Customer (5 Sep 2012 to 3 Jun 2014)
  • The Pension Drawdown Company Limited (no longer approved here)

    FRN 191339

    • Employed By (5 Sep 2012 to 3 Jun 2014)

Recent activity

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

No changes recorded yet.