Where they hold approval

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

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 28 Feb 2024)
    • [FCA CF] Functions requiring qualifications (since 28 Feb 2024)
  • Athena Wealth Planning Limited (no longer approved here)

    FRN 627636

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Feb 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Feb 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jun 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 19 Feb 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 16 Jun 2021)
    • SMF3 Executive Director (9 Dec 2019 to 23 Oct 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 21 Jun 2023)
    • Responsibility for MCD Intermediation (19 Sep 2016 to 21 Jun 2023)
    • CF10 Compliance Oversight (8 Oct 2014 to 8 Dec 2019)
    • CF1 Director (8 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (8 Oct 2014 to 30 Sep 2018)
  • Partners Wealth Management LLP (no longer approved here)

    FRN 442303

    • CF30 Customer (13 Aug 2013 to 30 Sep 2014)
  • Independent Professional Investments Limited (no longer approved here)

    FRN 460510

    • CF21 Investment Adviser (16 Jan 2007 to 1 Jun 2007)
  • Independent Professional Investments Limited (no longer approved here)

    FRN 173352

    • (3)Employed By (7 Apr 2003 to 21 Jan 2004)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2003)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 30 Aug 2002)

Recent activity

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

No changes recorded yet.