Last updated
1 week ago
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Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 5 Dec 2023)
    • [FCA CF] Client dealing (since 5 Dec 2023)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF1 Director (AR) (since 11 Jun 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Nov 2023)
    • CF30 Customer (11 Jun 2019 to 30 Nov 2023)
    • Employed By (since 11 Jun 2019)
    • (6)Employed By (23 May 2000 to 3 Oct 2006)

Recent activity

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

No changes recorded yet.