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 9 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 8 Sep 2020)
    • CF30 Customer (16 Nov 2018 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (30 Jun 2015 to 16 Nov 2018)
  • Continuum (Financial Services) LLP (no longer approved here)

    FRN 617867

    • Employed By (30 Jun 2015 to 16 Nov 2018)
  • Broadstone Financial Solutions Limited (no longer approved here)

    FRN 134771

    • CF30 Customer (18 Nov 2013 to 20 May 2015)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (2 Dec 2008 to 12 Aug 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (5 Jun 2008 to 17 Oct 2008)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 2 May 2008)
    • CF22 Investment Adviser (Trainee) (17 May 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.