Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 7 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
    • [FCA CF] Client dealing (since 7 Mar 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Sep 2004 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (2 Aug 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Aug 2004 to 14 Sep 2004)
  • KPMG LLP (no longer approved here)

    FRN 210513

    • CF21 Investment Adviser (30 Apr 2002 to 25 Jul 2003)

Recent activity

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

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