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
    • 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)
    • [FCA CF] Client dealing (since 1 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
  • Prism Financial Advice Limited (no longer approved here)

    FRN 426165

    • [FCA CF] Functions requiring qualifications (4 Aug 2021 to 4 Nov 2025)
    • [FCA CF] Client dealing (4 Aug 2021 to 4 Nov 2025)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Functions requiring qualifications (1 Jul 2018 to 31 May 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (7 Apr 2016 to 1 Jul 2018)
    • CF30 Customer (10 Jul 2015 to 6 Mar 2016)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (3 Sep 2013 to 13 Mar 2015)
  • Innova Financial Solutions Ltd (no longer approved here)

    FRN 595136

    • Employed By (3 Sep 2013 to 13 Mar 2015)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (12 Aug 2011 to 29 Jul 2013)
  • Darren Jones (no longer approved here)

    FRN 515060

    • Employed By (24 May 2010 to 5 Jul 2011)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (22 Dec 2009 to 5 Jul 2011)
  • Castlerock Wealth Management (no longer approved here)

    FRN 475496

    • Employed By (22 Dec 2009 to 23 May 2010)

Recent activity

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

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