Last updated
2 days ago
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Where they hold approval

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

    • 9A. Advising on P2P agreements
    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (21 Apr 2017 to 8 Dec 2019)
    • CF1 Director (21 Apr 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (21 Apr 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (21 Apr 2017 to 30 Sep 2018)
  • Crystal Financial Planning Limited (no longer approved here)

    FRN 224134

    • Employed By (23 Jan 2014 to 21 Apr 2017)
  • Advance Mortgage Funding Limited (no longer approved here)

    FRN 305008

    • CF3 Chief Executive (AR) (11 Nov 2004 to 30 Mar 2007)
    • CF1 Director (AR) (11 Nov 2004 to 30 Mar 2007)
  • Aquila Mortgages & Life Limited (no longer approved here)

    FRN 411607

    • Employed By (11 Nov 2004 to 30 Mar 2007)
  • Cornovii Investment Management (no longer approved here)

    FRN 190087

    • Employed By (15 Feb 1999 to 28 Mar 2003)

Recent activity

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

No changes recorded yet.