Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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)
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- CF21 Investment Adviser (30 Apr 2002 to 25 Jul 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.