Last updated
6 days ago
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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)
    • [FCA CF] Client dealing (since 5 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 5 Nov 2021)
  • PFM Associates Limited (no longer approved here)

    FRN 213724

    • CF30 Customer (11 Nov 2011 to 29 Jul 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (17 Dec 2008 to 29 Oct 2011)

Recent activity

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

No changes recorded yet.