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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Nov 2023)
    • SMF3 Executive Director (9 Dec 2019 to 10 Apr 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Nov 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 10 Apr 2025)
    • Responsible for Insurance Mediation (8 Sep 2011 to 30 Sep 2018)
    • CF1 Director (8 Sep 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Sep 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Sep 2011 to 8 Dec 2019)
    • CF30 Customer (8 Sep 2011 to 8 Dec 2019)
  • Saltus Financial Planning Limited (no longer approved here)

    FRN 722703

    • [FCA CF] Manager of certification employee (21 Aug 2025 to 31 Dec 2025)
    • [FCA CF] Client dealing (25 Oct 2023 to 31 Dec 2025)
    • [FCA CF] Functions requiring qualifications (1 Mar 2023 to 31 Dec 2025)
  • TrinityBridge Limited (no longer approved here)

    FRN 119329

    • CF30 Customer (20 Oct 2010 to 4 Jul 2011)

Recent activity

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

No changes recorded yet.