Where they hold approval

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

    • 2. Giving personal recommendations on 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
    • 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)
    • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
  • Rose and North Limited (no longer approved here)

    FRN 714305

    • CF30 Customer (9 Feb 2018 to 7 May 2019)
  • LONSDALE SERVICES LIMITED (no longer approved here)

    FRN 225488

    • CF30 Customer (1 Aug 2015 to 23 Mar 2018)
  • DRW INVESTMENTS (UK) LIMITED (no longer approved here)

    FRN 143880

    • CF26 Customer Trading (29 Jul 2004 to 2 Jun 2006)

Recent activity

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

No changes recorded yet.