Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (25 Aug 2016 to 21 Jan 2017)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (19 Mar 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 Nov 2004 to 19 Mar 2007)

Recent activity

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

No changes recorded yet.