Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (13 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (25 Jul 2012 to 8 Dec 2019)
    • CF4 Partner (25 Jul 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (25 Jul 2012 to 30 Sep 2018)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 8 Dec 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (10 Jun 2003 to 18 Mar 2005)
    • CF22 Investment Adviser (Trainee) (30 Apr 2002 to 10 Jun 2003)

Recent activity

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

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