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
    • [FCA CF] Functions requiring qualifications (since 17 Oct 2022)
    • [FCA CF] Client dealing (since 5 Sep 2022)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (14 Oct 2011 to 22 Apr 2014)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 3 Oct 2011)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.