Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 22 Nov 2023)
    • [FCA CF] Client dealing (since 22 Nov 2023)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (18 Nov 2021 to 23 Nov 2023)
    • CF1 Director (AR) (18 Oct 2021 to 23 Nov 2023)
    • CF30 Customer (18 Oct 2021 to 23 Nov 2023)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 11 Jan 2022)
    • CF1 Director (AR) (15 Oct 2015 to 11 Jan 2022)
    • CF30 Customer (4 Feb 2010 to 11 Jan 2022)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (8 May 2008 to 1 Feb 2010)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 8 Feb 2008)
    • CF21 Investment Adviser (10 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.