Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 11 Oct 2016)
    • CF10 Compliance Oversight (17 Nov 2017 to 8 Dec 2019)
    • CF1 Director (5 Aug 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Aug 2009 to 30 Sep 2018)
  • The Investment Market Ltd (no longer approved here)

    FRN 228198

    • Employed By (1 Nov 2004 to 7 Jul 2009)
  • Legal & General Partnership Services Limited (no longer approved here)

    FRN 300792

    • CF1 Director (AR) (31 Oct 2004 to 3 Jun 2006)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF1 Director (AR) (16 May 2002 to 3 Jun 2006)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF1 Director (AR) (16 May 2002 to 3 Jun 2006)

Recent activity

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

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