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 3 Mar 2022)
    • [FCA CF] Functions requiring qualifications (since 3 Mar 2022)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (22 Jan 2020 to 1 Oct 2021)
    • [FCA CF] Client dealing (22 Jan 2020 to 1 Oct 2021)
    • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (21 Dec 2012 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (16 Jul 2009 to 11 Nov 2012)

Recent activity

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

No changes recorded yet.