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
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Mar 2026)
    • SMF3 Executive Director (since 14 Mar 2024)
    • [FCA CF] Client dealing (since 1 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2021)
  • Herbert Scott Ltd (no longer approved here)

    FRN 179810

    • CF30 Customer (1 Apr 2009 to 26 Mar 2014)

Recent activity

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

No changes recorded yet.