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] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 16 Jun 2017)
    • CF30 Customer (since 12 Aug 2014)
    • (4)Employed By (since 19 Dec 2017)
  • Sterling Welsh Limited (no longer approved here)

    FRN 680894

    • (2)Employed By (9 Mar 2016 to 7 Mar 2017)
  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • CF30 Customer (20 Aug 2009 to 30 Dec 2013)
  • MCM Financial Management Ltd (no longer approved here)

    FRN 229118

    • Employed By (5 Oct 2005 to 28 Aug 2006)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (4 May 2004 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (26 Nov 2003 to 4 May 2004)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (4 May 2004 to 28 Aug 2006)
    • CF22 Investment Adviser (Trainee) (26 Nov 2003 to 4 May 2004)
  • Options & Choices Financial Services Ltd (no longer approved here)

    FRN 224877

    • Employed By (26 Nov 2003 to 5 Oct 2005)

Recent activity

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

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