Where they hold approval

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

  • Acacia Wealth Limited (no longer approved here)

    FRN 504742

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Nov 2023)
    • SMF3 Executive Director (9 Dec 2019 to 6 Nov 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Nov 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 6 Nov 2023)
    • CF30 Customer (1 Apr 2010 to 8 Dec 2019)
    • CF1 Director (1 Apr 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2010 to 30 Sep 2018)
  • Oaklands Wealth Management Ltd (no longer approved here)

    FRN 432451

    • CF30 Customer (13 Jul 2010 to 1 Sep 2011)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 13 Aug 2010)
    • CF21 Investment Adviser (8 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Dec 2005 to 8 May 2006)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)

Recent activity

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

No changes recorded yet.