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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 28 Sep 2017)
    • CF30 Customer (since 28 Sep 2017)
    • (1)Employed By (since 28 Sep 2017)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF22 Investment Adviser (Trainee) (1 May 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2005)

Recent activity

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

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