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 1 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • [FCA CF] Manager of certification employee (10 Jan 2022 to 21 Aug 2024)
    • Responsible for Insurance Distribution (11 Aug 2020 to 29 Jan 2024)
    • SMF3 Executive Director (11 Aug 2020 to 11 Dec 2024)
    • SMF16 Compliance Oversight (11 Aug 2020 to 29 Jan 2024)
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Mar 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Mar 2025)
    • CF1 Director (AR) (2 May 2018 to 21 Jun 2021)
    • Responsible for Insurance Mediation (14 Nov 2016 to 30 Sep 2018)
    • CF10 Compliance Oversight (14 Nov 2016 to 8 Dec 2019)
    • CF30 Customer (14 Nov 2016 to 19 Dec 2023)
    • CF4 Partner (14 Nov 2016 to 8 Dec 2019)
  • First Complete Limited (no longer approved here)

    FRN 435779

    • CF1 Director (AR) (23 Nov 2018 to 30 May 2024)
  • Navigate Mortgages Ltd (no longer approved here)

    FRN 819962

    • (4)Employed By (23 Nov 2018 to 30 May 2024)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF4 Partner (AR) (8 Oct 2014 to 11 Nov 2016)
    • CF30 Customer (8 Oct 2014 to 11 Nov 2016)
  • Navigate Independent Financial Advisors LLP (no longer approved here)

    FRN 646915

    • Employed By (8 Oct 2014 to 11 Nov 2016)
  • S Hill & Co Investment Advisers Limited (no longer approved here)

    FRN 186240

    • (17)Employed By (18 Jan 2013 to 11 Aug 2014)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF21 Investment Adviser (10 Oct 2006 to 23 Mar 2007)
    • CF22 Investment Adviser (Trainee) (26 Jan 2006 to 10 Oct 2006)

Recent activity

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

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