Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 11 Mar 2026)
    • [FCA CF] Client dealing (since 11 Mar 2026)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 1 Jan 2023)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (3 Jan 2017 to 8 Dec 2019)
  • Grove Investment Solutions Ltd (no longer approved here)

    FRN 968059

    • (1)Employed By (15 Jan 2024 to 6 Mar 2026)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (6 Sep 2007 to 29 Oct 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (6 Sep 2007 to 29 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (29 Nov 2006 to 3 Sep 2007)
    • CF22 Investment Adviser (Trainee) (6 May 2005 to 29 Nov 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (17 Feb 2004 to 31 Jan 2005)

Recent activity

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

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