Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 30 Sep 2020)
    • [FCA CF] Client dealing (since 30 Sep 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (16 Feb 2016 to 8 Dec 2019)
    • CF1 Director (16 Feb 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Feb 2016 to 8 Dec 2019)
    • CF30 Customer (16 Feb 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Feb 2016 to 30 Sep 2018)
  • Radiant Financial Planning Limited (no longer approved here)

    FRN 192396

    • CF30 Customer (1 Nov 2007 to 6 Jan 2016)
    • CF21 Investment Adviser (30 Jun 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (25 Sep 2002 to 30 Jun 2003)

Recent activity

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

No changes recorded yet.