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] Functions requiring qualifications (since 13 May 2020)
    • [FCA CF] Client dealing (since 13 May 2020)
    • Appointed representative dealing with clients for which they require qualification (since 13 May 2020)
    • CF1 Director (AR) (since 3 Apr 2020)
    • CF30 Customer (since 3 Apr 2020)
    • [PRA CF] Key function holder (13 May 2020 to 14 May 2020)
    • Employed By (since 3 Apr 2020)
  • Vision Independent Financial Planning Ltd (no longer approved here)

    FRN 487395

    • CF1 Director (AR) (1 Mar 2018 to 26 May 2020)
    • CF30 Customer (1 Mar 2018 to 26 May 2020)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (23 Jul 2014 to 6 Mar 2016)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 12 Nov 2010)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (5 Dec 2007 to 16 Sep 2010)

Recent activity

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

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