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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 7 Apr 2026)
    • [FCA CF] Client dealing (since 7 Apr 2026)
    • SMF1 Chief Executive (since 20 May 2020)
    • Responsible for Insurance Distribution (since 20 May 2020)
    • SMF16 Compliance Oversight (since 20 May 2020)
    • SMF3 Executive Director (since 20 May 2020)
    • [FCA CF] Significant management (since 6 Apr 2020)
    • [FCA CF] Manager of certification employee (6 Apr 2020 to 24 Jun 2021)
    • CF30 Customer (since 1 Nov 2007)
    • CF4 Partner (AR) (since 6 Jun 2006)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 15 Apr 2026)
    • CF1 Director (AR) (12 May 2006 to 7 Jul 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Specialist Trust Solutions LLP (no longer approved here)

    FRN 401684

    • (32)Employed By (30 Nov 2005 to 15 Apr 2026)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Recent activity

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

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