Where they hold approval

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

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 17 Feb 2025)
    • [FCA CF] Client dealing (since 17 Feb 2025)
  • Dowgate Capital Limited (no longer approved here)

    FRN 146274

    • [FCA CF] Client dealing (8 Apr 2024 to 10 Mar 2025)
    • [FCA CF] Functions requiring qualifications (8 Apr 2024 to 10 Mar 2025)
  • Walker Crips Investment Management Limited (no longer approved here)

    FRN 226344

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2024)
    • CF30 Customer (4 Jul 2011 to 8 Dec 2019)
  • Union Investment Management Limited (no longer approved here)

    FRN 178723

    • CF11 Money Laundering Reporting (6 May 2010 to 1 Jul 2011)
    • CF30 Customer (1 May 2009 to 1 Jul 2011)

Recent activity

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

No changes recorded yet.