Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 4 Apr 2012)
- CF30 Customer (since 4 Apr 2012)
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REGENTIA LIFESTYLE PLANNING LTD
FRN 413890
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (1 Oct 2018 to 6 Dec 2018)
- Responsibility for MCD Intermediation (21 Mar 2016 to 27 Jun 2016)
- Responsible for Insurance Mediation (20 Jul 2015 to 30 Sep 2018)
- CF10 Compliance Oversight (1 Jul 2014 to 27 Jun 2016)
- CF1 Director (1 Jul 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Jul 2014 to 27 Jun 2016)
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Regency Wealth Ltd
FRN 578309
- (3)Employed By (since 4 Apr 2012)
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- CF30 Customer (1 Nov 2007 to 4 Apr 2012)
- CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.